| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHIEF SECURITIES LIMITED | RO | 就期貨合約提供意見 | 2026-08-24 | - |
| RO | 就證券提供意見 | 2026-08-24 | - | |
| RO | 提供資產管理 | 2026-08-24 | - | |
| RO | 期貨合約交易 | 2026-08-24 | - | |
| RO | 證券交易 | 2026-08-24 | - | |
| Rep | 就期貨合約提供意見 | 2026-04-22 | 2026-08-24 | |
| Rep | 就證券提供意見 | 2026-04-22 | 2026-08-24 | |
| Rep | 提供資產管理 | 2026-04-22 | 2026-08-24 | |
| Rep | 期貨合約交易 | 2026-04-22 | 2026-08-24 | |
| Rep | 證券交易 | 2026-04-22 | 2026-08-24 | |
| Soochow Securities International Futures Limited | RO | 就期貨合約提供意見 | 2026-01-29 | 2026-03-31 |
| RO | 期貨合約交易 | 2026-01-29 | 2026-03-31 | |
| Soochow Securities International Brokerage Limited | Rep | 就證券提供意見 | 2025-11-07 | 2026-03-31 |
| Rep | 證券交易 | 2025-11-07 | 2026-03-31 | |
| Soochow Securities International Futures Limited | Rep | 就期貨合約提供意見 | 2025-11-07 | 2026-01-29 |
| Rep | 期貨合約交易 | 2025-11-07 | 2026-01-29 | |
| CELESTIAL COMMODITIES LIMITED | RO | 期貨合約交易 | 2023-11-10 | 2025-07-17 |
| Rep | 期貨合約交易 | 2023-10-27 | 2023-11-10 | |
| CASH Wealth Management Limited | RO | 就證券提供意見 | 2022-09-20 | 2025-07-17 |
| RO | 提供資產管理 | 2022-09-20 | 2025-07-17 | |
| RO | 證券交易 | 2022-09-20 | 2025-07-17 | |
| CELESTIAL SECURITIES LIMITED | RO | 證券交易 | 2022-09-20 | 2025-07-17 |
| WINBULL SECURITIES INTERNATIONAL (HONG KONG) LIMITED | RO | 就證券提供意見 | 2021-12-07 | 2022-03-31 |
| RO | 提供資產管理 | 2021-12-07 | 2022-03-31 | |
| RO | 證券交易 | 2021-12-07 | 2022-03-31 | |
| Towering Securities Limited | RO | 提供資產管理 | 2019-11-26 | 2021-01-01 |
| Rep | 提供資產管理 | 2019-07-11 | 2019-11-26 | |
| RO | 就證券提供意見 | 2019-07-11 | 2021-01-01 | |
| RO | 證券交易 | 2019-07-11 | 2021-01-01 | |
| China Investment Fund International Securities Limited | Rep | 就證券提供意見 | 2019-01-23 | 2019-03-28 |
| Rep | 證券交易 | 2019-01-23 | 2019-03-28 | |
| FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | Rep | 就證券提供意見 | 2018-01-12 | 2018-12-31 |
| RO | 證券交易 | 2017-09-19 | 2018-12-31 | |
| Rep | 證券交易 | 2016-12-05 | 2017-09-19 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2016-07-01 | 2016-10-08 |
| Rep | 證券交易 | 2015-01-21 | 2016-06-30 | |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2015-01-21 | 2016-10-08 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2015-01-21 | 2016-06-30 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2010-10-07 | 2014-07-26 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2010-10-07 | 2014-07-26 |
已採集記錄中暫無金管局登記。