| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UX SECURITIES LIMITED | Rep | 提供資產管理 | 2025-10-24 | - |
| RO | 就證券提供意見 | 2023-12-06 | - | |
| RO | 證券交易 | 2021-01-11 | - | |
| Rep | 證券交易 | 2018-08-29 | 2021-01-11 | |
| FORMAX SECURITIES LIMITED | Rep | 期貨合約交易 | 2017-06-15 | 2018-08-17 |
| Rep | 證券交易 | 2017-06-15 | 2018-08-17 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-03-07 | 2017-05-19 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-03-07 | 2017-05-19 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2010-01-18 | 2011-03-01 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2010-01-18 | 2011-03-01 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2010-01-18 | 2011-03-01 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2009-06-01 | 2010-01-01 |
| Rep | 證券交易 | 2009-05-07 | 2010-01-01 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-05-07 | 2010-01-01 |
| Rep | 期貨合約交易 | 2008-12-18 | 2009-03-21 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2008-09-08 | 2009-03-21 |
已採集記錄中暫無金管局登記。