| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 期貨合約交易 | 2020-10-23 | - |
| Rep | 證券交易 | 2020-10-23 | - | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2020-05-04 | 2020-10-09 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2020-05-04 | 2020-10-09 |
| RHB FUTURES HONG KONG LIMITED | Rep | 期貨合約交易 | 2015-02-04 | 2020-04-30 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2015-02-04 | 2020-04-30 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | 期貨合約交易 | 2010-08-30 | 2012-08-25 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2007-11-21 | 2012-08-25 |
| CGS International Securities Hong Kong Limited | Rep | 證券交易 | 2004-12-29 | 2007-11-02 |
| JVSakk Asia Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-06-30 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-06-30 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-06-30 | |
| Rep | 證券交易 | 2003-04-01 | 2003-06-30 |
已採集記錄中暫無金管局登記。