| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | RO | 就證券提供意見 | 2023-06-30 | - |
| Rep | 就證券提供意見 | 2022-01-24 | 2023-06-30 | |
| CMB International Securities Limited | Rep | 就證券提供意見 | 2017-09-29 | 2022-05-05 |
| Atlantic Asset Management Limited | Rep | 就證券提供意見 | 2017-01-04 | 2017-09-18 |
| Rep | 提供資產管理 | 2017-01-04 | 2017-09-18 | |
| Glory Sun Securities Limited | Rep | 證券交易 | 2017-01-04 | 2017-09-18 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | 就證券提供意見 | 2012-10-04 | 2016-12-28 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就證券提供意見 | 2009-11-17 | 2012-08-25 |
| CHINA EVERBRIGHT RESEARCH LIMITED | Rep | 就證券提供意見 | 2007-05-23 | 2009-11-04 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2006-09-18 | 2007-05-13 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2006-09-18 | 2007-05-13 |
已採集記錄中暫無金管局登記。