| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Pictet Asset Management (Hong Kong) Limited | RO | 就證券提供意見 | 2019-09-11 | - |
| RO | 證券交易 | 2019-09-11 | - | |
| Rep | 就證券提供意見 | 2019-08-09 | 2019-09-11 | |
| Rep | 證券交易 | 2019-07-22 | 2019-09-11 | |
| TCW ASIA LIMITED | RO | 證券交易 | 2015-10-07 | 2019-07-12 |
| Rep | 證券交易 | 2015-09-15 | 2015-10-07 | |
| Neuberger Berman Asia Limited | Rep | 就證券提供意見 | 2011-11-11 | 2015-06-13 |
| Rep | 證券交易 | 2011-11-11 | 2015-06-13 | |
| Merrill Lynch Far East Limited | Rep | 期貨合約交易 | 2010-09-10 | 2011-10-17 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-02-24 | 2010-09-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | 證券交易 | 2008-01-17 | 2011-10-17 |
已採集記錄中暫無金管局登記。