| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FUHAI SECURITIES LIMITED | RO | 證券交易 | 2022-07-28 | 2024-08-02 |
| RO | 證券交易 | 2021-11-24 | 2021-12-09 | |
| RO | 就證券提供意見 | 2018-12-27 | - | |
| RO | 提供資產管理 | 2018-12-27 | - | |
| MASON INVESTMENT MANAGEMENT LIMITED | RO | 就證券提供意見 | 2016-12-22 | 2018-07-31 |
| RO | 提供資產管理 | 2016-12-22 | 2018-07-31 | |
| Mason Securities Limited | RO | 提供資產管理 | 2016-12-22 | 2018-07-31 |
| THOMAS GLOBAL FINANCIAL SERVICES LIMITED | RO | 證券交易 | 2016-12-12 | 2018-07-31 |
| Mason Securities Limited | RO | 就證券提供意見 | 2016-09-29 | 2018-02-09 |
| RO | 證券交易 | 2016-09-29 | 2018-02-09 | |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | RO | 期貨合約交易 | 2016-09-29 | 2018-07-31 |
| Mason Securities Limited | Rep | 就證券提供意見 | 2016-08-12 | 2016-09-29 |
| Rep | 證券交易 | 2016-08-12 | 2016-09-29 | |
| ZHONG ZHENG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2016-08-12 | 2016-09-29 |
| Quam Securities Limited | RO | 就證券提供意見 | 2016-02-26 | 2016-05-15 |
| RO | 期貨合約交易 | 2016-02-26 | 2016-05-15 | |
| RO | 證券交易 | 2016-02-26 | 2016-05-15 | |
| Rep | 就證券提供意見 | 2016-01-11 | 2016-02-26 | |
| Rep | 期貨合約交易 | 2016-01-11 | 2016-02-26 | |
| Rep | 證券交易 | 2016-01-11 | 2016-02-26 | |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | 期貨合約交易 | 2008-09-04 | 2012-09-07 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | 證券交易 | 2008-09-04 | 2012-09-07 |
| Rep | 證券交易 | 2008-07-14 | 2008-09-04 | |
| WINWIN SECURITIES LIMITED | Rep | 證券交易 | 2008-06-12 | 2008-06-26 |
| Credit Suisse (Hong Kong) Limited | Rep | 證券交易 | 2005-04-14 | 2008-04-22 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 提供自動化交易服務 | 2003-04-01 | 2003-08-22 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2005-02-15 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-02-15 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-02-15 | |
| Rep | 證券交易 | 2003-04-01 | 2008-04-22 |
已採集記錄中暫無金管局登記。