| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2015-12-31 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2015-12-31 | - |
| RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED | Rep | 就證券提供意見 | 2013-07-04 | 2015-07-31 |
| Rep | 證券交易 | 2013-07-04 | 2015-07-31 | |
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | 2004-11-25 | 2015-07-31 |
| Rep | 期貨合約交易 | 2004-11-25 | 2015-07-31 | |
| RBC FUTURES SERVICES (ASIA) LIMITED | Rep | 提供資產管理 | 2003-04-01 | 2003-06-18 |
| Rep | 就期貨合約提供意見 | 2003-04-01 | 2005-09-30 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2005-09-30 | |
| RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-02-18 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-02-18 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2015-07-31 | |
| Rep | 證券交易 | 2003-04-01 | 2015-07-31 |
已採集記錄中暫無金管局登記。