| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| YF ASSET MANAGEMENT LIMITED | RO | 就期貨合約提供意見 | 2019-02-12 | - |
| YF FUTURES COMPANY LIMITED | RO | 期貨合約交易 | 2019-02-12 | - |
| YF ASSET MANAGEMENT LIMITED | Rep | 就期貨合約提供意見 | 2018-08-13 | 2019-02-12 |
| YF FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2018-08-13 | 2019-02-12 |
| YF ASSET MANAGEMENT LIMITED | RO | 就證券提供意見 | 2018-04-03 | - |
| RO | 提供資產管理 | 2018-04-03 | - | |
| YF SECURITIES COMPANY LIMITED | RO | 證券交易 | 2018-04-03 | - |
| YF ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2018-03-05 | 2018-04-03 |
| Rep | 提供資產管理 | 2018-03-05 | 2018-04-03 | |
| YF SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2018-03-05 | 2018-04-03 |
| DaoKou Securities Limited | RO | 證券交易 | 2017-07-07 | 2018-02-28 |
| DaoKou Asset Management Limited | RO | 就證券提供意見 | 2016-10-03 | 2018-02-28 |
| RO | 提供資產管理 | 2016-09-14 | 2018-02-28 | |
| SINOMAX SECURITIES LIMITED | RO | 就證券提供意見 | 2016-08-19 | 2016-08-19 |
| RO | 提供資產管理 | 2016-08-19 | 2016-08-19 | |
| RO | 證券交易 | 2016-08-19 | 2016-08-19 | |
| Rep | 證券交易 | 2015-11-25 | 2016-08-19 | |
| HARMONY ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2014-10-17 | 2015-09-21 |
| YF ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2013-04-16 | 2014-04-15 |
| YF FUTURES COMPANY LIMITED | Rep | 期貨合約交易 | 2013-04-16 | 2014-04-15 |
| YF SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2013-04-16 | 2014-04-15 |
| SBI China Capital Commodities Limited | RO | 提供資產管理 | 2009-05-15 | 2013-02-28 |
| Rep | 提供資產管理 | 2009-03-05 | 2009-05-15 | |
| Rep | 期貨合約交易 | 2009-03-05 | 2013-02-28 | |
| SBI China Capital Financial Services Limited | Rep | 提供資產管理 | 2009-03-05 | 2013-03-21 |
| Rep | 證券交易 | 2009-03-05 | 2013-03-21 | |
| SBI China Capital Securities Limited | Rep | 提供資產管理 | 2009-03-05 | 2011-09-30 |
| Rep | 證券交易 | 2009-03-05 | 2011-09-30 | |
| SBI China Capital Financial Services Limited | Rep | 提供資產管理 | 2008-09-23 | 2009-02-13 |
| Rep | 證券交易 | 2008-09-23 | 2009-02-13 | |
| SBI China Capital Commodities Limited | Rep | 期貨合約交易 | 2008-01-31 | 2009-02-13 |
| RO | 期貨合約交易 | 2007-07-12 | 2008-01-12 | |
| RO | 提供資產管理 | 2007-07-12 | 2009-02-13 | |
| Rep | 就期貨合約提供意見 | 2003-04-01 | 2003-07-16 | |
| Rep | 提供資產管理 | 2003-04-01 | 2007-07-12 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2007-07-12 | |
| SBI China Capital Securities Limited | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-07-16 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-07-16 | |
| Rep | 提供資產管理 | 2003-04-01 | 2009-02-13 | |
| Rep | 證券交易 | 2003-04-01 | 2009-02-13 |
已採集記錄中暫無金管局登記。