| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | 證券交易 | 2021-04-28 | - |
| RO | 就證券提供意見 | 2021-04-28 | 2024-02-23 | |
| Everbright Securities Investment Services (HK) Limited | RO | 就證券提供意見 | 2021-04-28 | - |
| RO | 證券交易 | 2021-04-28 | - | |
| CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | 就證券提供意見 | 2021-01-04 | 2021-04-28 |
| Rep | 證券交易 | 2021-01-04 | 2021-04-28 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 就證券提供意見 | 2021-01-04 | 2021-04-28 |
| Rep | 證券交易 | 2021-01-04 | 2021-04-28 | |
| Crosby Securities Limited | Rep | 就證券提供意見 | 2020-03-24 | 2020-12-16 |
| Rep | 證券交易 | 2020-02-05 | 2020-12-16 | |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | RO | 證券交易 | 2014-08-08 | 2019-11-01 |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2010-03-11 | 2013-07-05 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2010-03-11 | 2014-08-08 |
| CCB INTERNATIONAL SECURITIES LIMITED | Rep | 就證券提供意見 | 2009-12-07 | 2010-03-02 |
| Rep | 證券交易 | 2009-12-07 | 2010-03-02 | |
| SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | 就證券提供意見 | 2009-06-19 | 2009-11-23 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-06-19 | 2009-11-23 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2007-03-08 | 2008-12-10 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-03-08 | 2008-12-10 |
| Rep | 證券交易 | 2007-03-08 | 2008-12-10 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-03-08 | 2008-12-10 |
已採集記錄中暫無金管局登記。