| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2020-12-30 | - |
| Rep | 證券交易 | 2020-12-30 | - | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2020-07-31 | 2020-12-11 |
| SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2019-01-24 | 2020-07-20 |
| Rep | 就證券提供意見 | 2019-01-24 | 2020-07-20 | |
| Rep | 證券交易 | 2019-01-24 | 2020-07-20 | |
| CITIC Securities Brokerage (HK) Limited | Rep | 證券交易 | 2014-12-09 | 2016-05-27 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2011-04-01 | 2014-10-29 |
| Rep | 就證券提供意見 | 2011-04-01 | 2014-10-29 | |
| Rep | 證券交易 | 2011-04-01 | 2014-10-29 |
已採集記錄中暫無金管局登記。