| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jone Portman Limited | RO | 就證券提供意見 | 2026-03-13 | - |
| RO | 提供資產管理 | 2026-03-13 | - | |
| Rep | 就證券提供意見 | 2026-03-04 | 2026-03-13 | |
| Rep | 提供資產管理 | 2026-03-04 | 2026-03-13 | |
| TUNG YAT SECURITIES LIMITED | RO | 就證券提供意見 | 2022-11-22 | 2025-08-21 |
| RO | 證券交易 | 2022-11-22 | 2025-08-21 | |
| Rep | 就證券提供意見 | 2022-10-21 | 2022-11-22 | |
| Rep | 證券交易 | 2022-10-21 | 2022-11-22 | |
| Rep | 提供資產管理 | 2022-10-21 | 2025-08-21 | |
| CN First Investment Management Limited | Rep | 提供資產管理 | 2021-06-09 | 2021-10-11 |
| CN FIRST INTERNATIONAL FUTURES LIMITED | RO | 就證券提供意見 | 2020-09-21 | 2021-10-11 |
| RO | 證券交易 | 2020-09-21 | 2021-10-11 | |
| Superfund Financial (Hong Kong) Limited | RO | 就證券提供意見 | 2019-05-20 | 2020-02-15 |
| RO | 證券交易 | 2019-05-20 | 2020-02-15 | |
| Beevest Securities Limited | RO | 就證券提供意見 | 2017-08-22 | 2018-05-24 |
| RO | 證券交易 | 2017-08-22 | 2018-05-24 | |
| Monmonkey Group Securities Limited | RO | 就證券提供意見 | 2016-11-10 | 2017-05-31 |
| RO | 證券交易 | 2016-11-10 | 2017-05-31 | |
| JS SECURITIES LIMITED (HK) | RO | 就證券提供意見 | 2015-10-07 | 2016-06-27 |
| RO | 證券交易 | 2015-10-07 | 2016-06-27 | |
| IBTS ASIA (HK) LIMITED | RO | 就證券提供意見 | 2015-06-17 | 2015-09-30 |
| RO | 證券交易 | 2015-06-17 | 2015-09-30 | |
| TFI Securities and Futures Limited | RO | 期貨合約交易 | 2015-01-15 | 2015-02-01 |
| RO | 證券交易 | 2014-12-16 | 2015-02-01 | |
| QUEST STOCKBROKERS (HK) LIMITED | RO | 證券交易 | 2013-08-05 | 2014-11-01 |
| Rep | 證券交易 | 2012-10-03 | 2013-08-05 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-05-13 | 2012-09-21 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2004-04-27 | 2012-09-21 |
| FUJI HONG KONG COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2004-03-03 | 2004-03-23 |
已採集記錄中暫無金管局登記。