| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Prudence Investment Management (Hong Kong) Limited | RO | 證券交易 | 2020-10-21 | 2021-03-31 |
| Fangyuan Capital (Hong Kong) Limited | RO | 就證券提供意見 | 2020-07-09 | - |
| RO | 提供資產管理 | 2020-07-09 | - | |
| SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | RO | 就證券提供意見 | 2016-08-17 | 2020-02-12 |
| RO | 提供資產管理 | 2016-08-17 | 2020-02-12 | |
| Rep | 就證券提供意見 | 2016-04-18 | 2016-08-17 | |
| Rep | 提供資產管理 | 2016-04-18 | 2016-08-17 | |
| Grey Investment Limited | Rep | 就證券提供意見 | 2014-08-26 | 2016-03-31 |
| Rep | 提供資產管理 | 2014-08-26 | 2016-03-31 | |
| ORIENTAL PATRON ASIA LIMITED | RO | 提供資產管理 | 2009-05-29 | 2014-05-31 |
| ORIENTAL PATRON SECURITIES LIMITED | RO | 就證券提供意見 | 2009-05-29 | 2014-05-31 |
| RO | 證券交易 | 2009-05-29 | 2014-05-31 | |
| ORIENTAL PATRON ASIA LIMITED | Rep | 提供資產管理 | 2009-04-08 | 2009-05-29 |
| ORIENTAL PATRON SECURITIES LIMITED | Rep | 就證券提供意見 | 2009-04-08 | 2009-05-29 |
| Rep | 證券交易 | 2009-04-08 | 2009-05-29 | |
| SBI China Capital Financial Services Limited | RO | 就證券提供意見 | 2008-09-19 | 2009-02-28 |
| RO | 提供資產管理 | 2008-09-19 | 2009-02-28 | |
| RO | 證券交易 | 2008-09-19 | 2009-02-28 | |
| SBI China Capital Securities Limited | RO | 就證券提供意見 | 2007-03-13 | 2009-02-28 |
| RO | 提供資產管理 | 2007-03-13 | 2009-02-28 | |
| RO | 證券交易 | 2007-03-13 | 2009-02-28 | |
| SBI China Capital Commodities Limited | Rep | 期貨合約交易 | 2006-04-18 | 2009-02-28 |
| SBI China Capital Securities Limited | Rep | 證券交易 | 2006-04-18 | 2007-03-13 |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | 2004-04-28 | 2006-04-10 |
| Rep | 期貨合約交易 | 2003-06-24 | 2004-02-24 | |
| Tung Shing Securities (Brokers) Limited | Rep | 提供自動化交易服務 | 2003-06-24 | 2003-11-07 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2003-05-12 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-05-12 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-05-12 | |
| Rep | 證券交易 | 2003-04-01 | 2006-04-10 |
已採集記錄中暫無金管局登記。