| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Core Pacific - Yamaichi Asset Management Limited | RO | 提供資產管理 | 2025-05-16 | - |
| Rep | 提供資產管理 | 2020-09-30 | 2025-05-16 | |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | RO | 就證券提供意見 | 2016-07-01 | - |
| RO | 證券交易 | 2016-07-01 | - | |
| RO | 就證券提供意見 | 2014-05-12 | 2016-06-30 | |
| RO | 證券交易 | 2014-05-12 | 2016-06-30 | |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | RO | 期貨合約交易 | 2014-05-12 | - |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | RO | 證券交易 | 2014-05-12 | 2016-06-30 |
| RHB FUTURES HONG KONG LIMITED | RO | 期貨合約交易 | 2011-12-05 | 2014-03-04 |
| RHB SECURITIES HONG KONG LIMITED | RO | 就證券提供意見 | 2011-12-05 | 2014-03-04 |
| RO | 證券交易 | 2011-12-05 | 2014-03-04 | |
| KGI FUTURES (HONG KONG) LIMITED | RO | 就期貨合約提供意見 | 2008-02-12 | 2011-11-10 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2007-08-07 | 2011-11-10 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2007-08-07 | 2011-11-10 |
| KGI ASIA LIMITED | RO | 證券交易 | 2006-07-24 | 2011-11-10 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 期貨合約交易 | 2006-07-24 | 2011-11-10 |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | 2006-07-24 | 2011-11-10 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2006-04-11 | 2006-07-24 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2006-04-11 | 2006-07-24 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2006-04-11 | 2006-07-24 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-08-15 |
| Rep | 提供資產管理 | 2003-04-01 | 2003-12-09 | |
| Rep | 就期貨合約提供意見 | 2003-04-01 | 2005-03-29 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2006-04-01 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2005-03-29 |
| Rep | 提供資產管理 | 2003-04-01 | 2005-03-29 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2006-04-01 | |
| Rep | 證券交易 | 2003-04-01 | 2006-04-01 |
已採集記錄中暫無金管局登記。