| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Mont Avenir Capital Limited | RO | 就證券提供意見 | 2026-03-23 | - |
| RO | 提供資產管理 | 2026-03-23 | - | |
| RO | 證券交易 | 2025-11-21 | - | |
| Rep | 證券交易 | 2025-09-30 | 2025-11-21 | |
| SOUTH CHINA COMMODITIES LIMITED | RO | 期貨合約交易 | 2025-08-15 | 2025-08-20 |
| South China Investment Management Limited | RO | 提供資產管理 | 2025-08-15 | 2025-08-20 |
| SOUTH CHINA RESEARCH LIMITED | RO | 就證券提供意見 | 2025-08-15 | 2025-08-20 |
| SOUTH CHINA SECURITIES LIMITED | RO | 證券交易 | 2025-08-15 | 2025-08-20 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | 期貨合約交易 | 2025-05-08 | 2025-08-15 |
| South China Investment Management Limited | Rep | 提供資產管理 | 2025-05-08 | 2025-08-15 |
| SOUTH CHINA RESEARCH LIMITED | Rep | 就證券提供意見 | 2025-05-08 | 2025-08-15 |
| SOUTH CHINA SECURITIES LIMITED | Rep | 證券交易 | 2025-05-08 | 2025-08-15 |
| Atlantic Asset Management Limited | RO | 提供資產管理 | 2024-03-28 | 2025-01-13 |
| RO | 就證券提供意見 | 2023-08-22 | 2025-01-13 | |
| Glory Sun Securities Limited | RO | 就證券提供意見 | 2022-11-30 | 2025-01-13 |
| RO | 期貨合約交易 | 2020-11-03 | 2022-10-06 | |
| RO | 提供資產管理 | 2020-11-03 | 2025-01-13 | |
| RO | 證券交易 | 2020-11-03 | 2025-01-13 | |
| Rep | 期貨合約交易 | 2020-05-27 | 2020-11-03 | |
| Rep | 證券交易 | 2020-05-27 | 2020-11-03 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2020-03-10 | 2020-05-05 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2020-03-10 | 2020-05-05 |
| YUE XIU FUTURES COMPANY LIMITED | RO | 期貨合約交易 | 2018-06-29 | 2020-02-10 |
| YUE XIU SECURITIES COMPANY LIMITED | RO | 證券交易 | 2018-06-29 | 2020-02-10 |
| YUE XIU FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2018-03-06 | 2018-06-29 |
| YUE XIU SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2018-03-06 | 2018-06-29 |
| CMBC ASSET MANAGEMENT COMPANY LIMITED | RO | 提供資產管理 | 2018-01-08 | 2018-01-31 |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | RO | 期貨合約交易 | 2018-01-08 | 2018-01-31 |
| CMBC SECURITIES COMPANY LIMITED | RO | 證券交易 | 2018-01-08 | 2018-01-31 |
| CMBC ASSET MANAGEMENT COMPANY LIMITED | Rep | 提供資產管理 | 2017-11-14 | 2018-01-08 |
| CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2017-11-14 | 2018-01-08 |
| CMBC SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2017-11-14 | 2018-01-08 |
| FORMAX ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2016-03-14 | 2017-11-08 |
| FORMAX SECURITIES LIMITED | RO | 期貨合約交易 | 2016-03-14 | 2017-11-08 |
| RO | 證券交易 | 2016-03-14 | 2017-11-08 | |
| FORMAX ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2016-02-17 | 2016-03-14 |
| FORMAX SECURITIES LIMITED | Rep | 期貨合約交易 | 2016-02-17 | 2016-03-14 |
| Rep | 證券交易 | 2016-02-17 | 2016-03-14 | |
| XinKong International Asset Management Limited | RO | 提供資產管理 | 2014-06-09 | 2016-01-31 |
| XinKong International Securities Limited | RO | 證券交易 | 2014-05-08 | 2016-01-31 |
| Rep | 證券交易 | 2014-04-16 | 2014-05-08 | |
| Rep | 期貨合約交易 | 2014-04-16 | 2016-01-31 | |
| Caitong International Asset Management Co., Limited | Rep | 提供資產管理 | 2013-12-10 | 2014-04-01 |
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | RO | 證券交易 | 2013-09-06 | 2014-04-01 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-08-23 | 2013-09-04 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-08-23 | 2013-09-04 |
| ABCI Securities Company Limited | Rep | 證券交易 | 2011-07-25 | 2011-07-27 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2010-05-05 | 2011-07-01 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2010-05-05 | 2011-07-01 |
| Rep | 證券交易 | 2010-05-05 | 2011-07-01 | |
| AISANCE ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2008-08-14 | 2010-04-13 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2007-09-21 | 2010-04-13 |
已採集記錄中暫無金管局登記。