| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PRUDENTIAL BROKERAGE LIMITED | Rep | 就證券提供意見 | 2020-10-21 | - |
| Rep | 證券交易 | 2020-10-21 | - | |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | 期貨合約交易 | 2020-10-21 | - |
| RHB SECURITIES HONG KONG LIMITED | Rep | 就證券提供意見 | 2012-05-21 | 2020-01-29 |
| RHB FUTURES HONG KONG LIMITED | Rep | 期貨合約交易 | 2009-02-13 | 2020-01-29 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2009-02-13 | 2020-01-29 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2007-12-06 | 2009-02-01 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-05-14 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-05-14 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2009-02-01 |
已採集記錄中暫無金管局登記。