| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Evercore Asia Limited | RO | 就機構融資提供意見 | 2023-06-19 | - |
| RO | 就證券提供意見 | 2023-06-19 | - | |
| RO | 證券交易 | 2023-06-19 | - | |
| Rep | 就機構融資提供意見 | 2023-04-20 | 2023-06-19 | |
| Rep | 就證券提供意見 | 2023-04-20 | 2023-06-19 | |
| Rep | 證券交易 | 2023-04-20 | 2023-06-19 | |
| Alliance Capital Partners Limited (HK) | Rep | 就機構融資提供意見 | 2022-12-16 | 2023-02-06 |
| Rep | 證券交易 | 2022-12-16 | 2023-02-06 | |
| ICBC INTERNATIONAL CAPITAL LIMITED | RO | 就證券提供意見 | 2018-05-11 | 2022-08-16 |
| RO | 就機構融資提供意見 | 2017-11-20 | 2022-08-16 | |
| RO | 證券交易 | 2017-11-20 | 2022-08-16 | |
| ICBC INTERNATIONAL SECURITIES LIMITED | RO | 證券交易 | 2017-11-20 | 2022-08-16 |
| ICBC INTERNATIONAL CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2017-09-04 | 2017-11-20 |
| Rep | 證券交易 | 2017-09-04 | 2017-11-20 | |
| ICBC INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2017-09-04 | 2017-11-20 |
| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | 就證券提供意見 | 2015-08-07 | 2017-08-04 |
| RO | 證券交易 | 2015-08-07 | 2017-08-04 | |
| Rep | 就證券提供意見 | 2014-08-21 | 2015-08-07 | |
| RO | 就機構融資提供意見 | 2014-08-05 | 2017-08-04 | |
| Rep | 證券交易 | 2014-05-21 | 2015-08-07 | |
| PIPER JAFFRAY ASIA LIMITED | RO | 就機構融資提供意見 | 2011-09-12 | 2012-08-25 |
| Rep | 就機構融資提供意見 | 2011-03-25 | 2011-09-12 | |
| Oppenheimer Investments Asia Limited | RO | 就機構融資提供意見 | 2010-02-12 | 2011-03-09 |
已採集記錄中暫無金管局登記。