| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | 提供資產管理 | 2022-08-26 | 2024-08-13 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2022-08-26 | 2025-06-30 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2022-08-26 | - |
| Rep | 就證券提供意見 | 2022-08-26 | 2025-08-18 | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2016-07-13 | 2022-07-18 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2013-09-02 | 2022-07-18 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2013-09-02 | 2022-07-18 |
| Rep | 證券交易 | 2013-09-02 | 2022-07-18 | |
| Everbright Securities Investment Services (HK) Limited | Rep | 就證券提供意見 | 2011-07-11 | 2012-11-09 |
| Rep | 證券交易 | 2011-04-07 | 2012-11-09 | |
| Lion Global Financial Limited | Rep | 提供資產管理 | 2010-05-12 | 2011-03-11 |
| Rep | 證券交易 | 2010-05-12 | 2011-03-11 |
已採集記錄中暫無金管局登記。