| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Privium Fund Management (HK) Limited | RO | 提供資產管理 | 2018-04-27 | - |
| MCM ASIA LIMITED (TRADING AS MCM PARTNERS) ( | RO | 就證券提供意見 | 2015-07-27 | 2017-09-15 |
| RO | 證券交易 | 2015-07-27 | 2017-09-15 | |
| Rep | 就證券提供意見 | 2015-06-05 | 2015-07-27 | |
| Rep | 證券交易 | 2015-06-05 | 2015-07-27 | |
| Altitude Principle Advisory Limited | RO | 提供資產管理 | 2012-10-16 | 2014-11-13 |
| Rep | 提供資產管理 | 2012-08-31 | 2012-10-16 | |
| Credit Agricole Securities (Asia) Limited | Rep | 證券交易 | 2010-09-03 | 2012-04-13 |
| Daiwa Capital Markets Hong Kong Limited | Rep | 就證券提供意見 | 2008-12-29 | 2010-07-21 |
| Rep | 證券交易 | 2008-11-21 | 2010-07-21 | |
| KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | 證券交易 | 2007-04-11 | 2008-01-17 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2004-02-13 | 2007-02-01 |
| Rep | 證券交易 | 2004-02-13 | 2007-02-01 |
已採集記錄中暫無金管局登記。