| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EDDID CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2020-09-18 | - |
| RO | 證券交易 | 2020-09-18 | - | |
| Eddid Securities and Futures Limited | RO | 證券交易 | 2020-04-28 | - |
| RO | 就證券提供意見 | 2020-04-28 | 2020-07-21 | |
| Rep | 就證券提供意見 | 2020-03-10 | 2020-04-28 | |
| Rep | 證券交易 | 2020-03-10 | 2020-04-28 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 就證券提供意見 | 2017-11-22 | 2020-02-10 |
| RO | 證券交易 | 2017-11-22 | 2020-02-10 | |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | RO | 證券交易 | 2017-11-22 | 2020-02-10 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2017-07-07 | 2017-11-22 |
| Rep | 證券交易 | 2017-07-07 | 2017-11-22 | |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 證券交易 | 2017-07-07 | 2017-11-22 |
| Rep | 就機構融資提供意見 | 2017-07-07 | 2020-02-10 | |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2016-06-30 | 2017-06-09 |
| RO | 證券交易 | 2016-06-30 | 2017-06-09 | |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | 2016-06-30 | 2017-06-09 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2013-11-18 | 2016-06-30 |
| Rep | 證券交易 | 2013-11-18 | 2016-06-30 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2013-05-22 | 2013-10-30 |
| ORIENTAL PATRON SECURITIES LIMITED | Rep | 證券交易 | 2009-04-09 | 2013-05-04 |
| SINOPAC FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2006-10-16 | 2009-04-01 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2006-10-16 | 2009-04-01 |
| KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | 證券交易 | 2003-09-05 | 2004-03-04 |
| SUNWAH KINGSWAY FUTURES LIMITED | Rep | 期貨合約交易 | 2003-09-05 | 2004-03-04 |
已採集記錄中暫無金管局登記。