| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| IMC Asia Pacific Limited | RO | 期貨合約交易 | 2020-10-08 | - |
| RO | 證券交易 | 2020-10-08 | - | |
| Rep | 期貨合約交易 | 2020-08-18 | 2020-10-08 | |
| Rep | 證券交易 | 2020-08-18 | 2020-10-08 | |
| TIBRA TRADING HONG KONG LIMITED | RO | 期貨合約交易 | 2019-10-29 | 2020-07-18 |
| RO | 證券交易 | 2019-10-29 | 2020-07-18 | |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited | RO | 就證券提供意見 | 2016-12-19 | 2019-08-10 |
| RO | 證券交易 | 2016-12-19 | 2019-08-10 | |
| RO | 提供資產管理 | 2016-08-15 | 2019-08-10 | |
| Rep | 提供資產管理 | 2016-06-27 | 2016-08-15 | |
| Rep | 就證券提供意見 | 2016-06-27 | 2016-12-19 | |
| Rep | 證券交易 | 2016-06-27 | 2016-12-19 | |
| BASIC ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2014-12-15 | 2016-06-17 |
| Rep | 提供資產管理 | 2014-12-10 | 2014-12-15 | |
| Legg Mason Asset Management Hong Kong Limited | RO | 提供資產管理 | 2014-04-10 | 2014-07-31 |
| LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS) | RO | 就證券提供意見 | 2014-04-10 | 2014-07-31 |
| RO | 提供資產管理 | 2014-04-10 | 2014-07-31 | |
| RO | 證券交易 | 2014-04-10 | 2014-07-31 | |
| Legg Mason Asset Management Hong Kong Limited | Rep | 就期貨合約提供意見 | 2006-02-22 | 2006-05-26 |
| Rep | 提供資產管理 | 2006-02-22 | 2014-04-10 | |
| Rep | 就證券提供意見 | 2006-02-22 | 2014-07-31 | |
| Rep | 證券交易 | 2006-02-22 | 2014-07-31 | |
| LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS) | Rep | 就期貨合約提供意見 | 2006-02-22 | 2006-05-26 |
| Rep | 就證券提供意見 | 2006-02-22 | 2014-04-10 | |
| Rep | 提供資產管理 | 2006-02-22 | 2014-04-10 | |
| Rep | 證券交易 | 2006-02-22 | 2014-04-10 |
已採集記錄中暫無金管局登記。