| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Nuvama Investment Advisors (Hongkong) Private Limited | RO | 就期貨合約提供意見 | 2020-04-14 | - |
| RO | 就證券提供意見 | 2020-04-14 | - | |
| RO | 期貨合約交易 | 2020-04-14 | - | |
| RO | 證券交易 | 2020-04-14 | - | |
| Ark Securities (Hong Kong) Limited | Rep | 證券交易 | 2018-09-24 | 2019-11-21 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2018-09-24 | 2019-11-21 |
| Saxo Capital Markets HK Limited | RO | 證券交易 | 2018-03-14 | 2018-03-27 |
| Rep | 證券交易 | 2016-08-18 | 2018-03-14 | |
| Rep | 期貨合約交易 | 2016-08-18 | 2018-03-27 | |
| Rep | 槓桿式外匯交易 | 2016-08-18 | 2018-03-27 | |
| SG SECURITIES (HK) LIMITED | Rep | 提供自動化交易服務 | 2015-03-05 | 2015-05-19 |
| Rep | 期貨合約交易 | 2015-03-05 | 2015-05-19 | |
| Rep | 證券交易 | 2010-08-10 | 2015-05-19 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 證券交易 | 2005-11-03 | 2010-07-28 |
| BEAR STEARNS ASIA LIMITED | Rep | 證券交易 | 2004-07-16 | 2005-09-06 |
| BEAR STEARNS HONG KONG LIMITED | Rep | 期貨合約交易 | 2004-07-16 | 2004-11-23 |
已採集記錄中暫無金管局登記。