| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited | RO | 證券交易 | 2018-01-26 | - |
| RO | 就證券提供意見 | 2014-03-21 | - | |
| Rep | 就證券提供意見 | 2014-01-17 | 2014-03-21 | |
| Rep | 證券交易 | 2014-01-17 | 2018-01-26 | |
| Mirae Asset Securities (HK) Limited | Rep | 證券交易 | 2011-08-16 | 2012-07-31 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2009-03-25 | 2011-08-01 |
| Rep | 期貨合約交易 | 2009-03-13 | 2011-08-01 | |
| Rep | 證券交易 | 2009-03-13 | 2011-08-01 | |
| Morgan Stanley Asia Limited | Rep | 提供自動化交易服務 | 2008-08-11 | 2008-11-07 |
| Rep | 證券交易 | 2008-08-11 | 2008-11-07 | |
| Morgan Stanley Hong Kong Futures Limited | Rep | 提供自動化交易服務 | 2008-08-11 | 2008-11-07 |
| Rep | 期貨合約交易 | 2008-08-11 | 2008-11-07 | |
| HSBC SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2005-04-19 | 2005-11-14 |
| NH INVESTMENT & SECURITIES (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-01-13 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-01-13 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-01-13 | |
| Rep | 證券交易 | 2003-04-01 | 2005-03-29 |
已採集記錄中暫無金管局登記。