| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| OCBC Securities Brokerage (Hong Kong) Limited | RO | 期貨合約交易 | 2026-04-13 | - |
| OCBC Futures Investment (Hong Kong) Limited | RO | 期貨合約交易 | 2024-10-09 | - |
| OCBC Securities Brokerage (Hong Kong) Limited | RO | 證券交易 | 2024-10-09 | - |
| OCBC Futures Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2024-09-04 | 2024-10-09 |
| OCBC Securities Brokerage (Hong Kong) Limited | Rep | 證券交易 | 2024-09-04 | 2024-10-09 |
| Soochow Securities International Brokerage Limited | RO | 就證券提供意見 | 2020-04-29 | 2024-06-19 |
| RO | 證券交易 | 2020-04-29 | 2024-06-19 | |
| Soochow Securities International Futures Limited | RO | 就期貨合約提供意見 | 2020-04-29 | 2024-06-19 |
| RO | 期貨合約交易 | 2020-04-29 | 2024-06-19 | |
| Rep | 就期貨合約提供意見 | 2020-04-02 | 2020-04-29 | |
| Rep | 期貨合約交易 | 2020-04-02 | 2020-04-29 | |
| Soochow Securities International Brokerage Limited | Rep | 就證券提供意見 | 2020-03-04 | 2020-04-29 |
| Rep | 證券交易 | 2020-03-04 | 2020-04-29 | |
| PARCHMENT CAPITAL LIMITED | Rep | 就證券提供意見 | 2019-09-12 | 2019-10-30 |
| PARCHMENT INVESTMENT LIMITED | Rep | 證券交易 | 2019-09-12 | 2019-10-30 |
| China Sunrise Securities (International) Limited | RO | 就證券提供意見 | 2017-07-28 | 2019-08-21 |
| RO | 證券交易 | 2016-06-01 | 2019-08-21 | |
| Brilliant Norton Securities Company Limited | RO | 就證券提供意見 | 2015-12-31 | 2016-05-23 |
| RO | 證券交易 | 2015-12-31 | 2016-05-23 | |
| Rep | 就證券提供意見 | 2015-12-23 | 2015-12-31 | |
| Rep | 證券交易 | 2015-12-23 | 2015-12-31 | |
| ICBC Asset Management (Global) Company Limited | RO | 就期貨合約提供意見 | 2015-11-05 | 2015-12-11 |
| ICBC (Asia) Futures Company Limited | RO | 就期貨合約提供意見 | 2014-09-24 | 2015-12-11 |
| RO | 期貨合約交易 | 2014-09-24 | 2015-12-11 | |
| Rep | 就期貨合約提供意見 | 2014-09-03 | 2014-09-24 | |
| Rep | 期貨合約交易 | 2014-09-03 | 2014-09-24 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 槓桿式外匯交易 | 2013-01-31 | 2014-04-04 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2011-12-28 | 2014-04-04 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2010-11-02 | 2014-04-04 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2010-11-02 | 2014-04-04 |
已採集記錄中暫無金管局登記。