| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CS Wealth Securities Limited | RO | 證券交易 | 2024-10-16 | - |
| Rep | 證券交易 | 2024-02-14 | 2024-10-16 | |
| CS Wealth Asset Management Limited | RO | 就證券提供意見 | 2020-02-11 | - |
| RO | 提供資產管理 | 2020-02-11 | - | |
| Sprout Asset Management (Asia) Limited | RO | 就證券提供意見 | 2017-06-01 | 2019-12-31 |
| RO | 提供資產管理 | 2017-06-01 | 2019-12-31 | |
| RO | 證券交易 | 2017-06-01 | 2019-12-31 | |
| Rep | 就證券提供意見 | 2017-05-22 | 2017-06-01 | |
| Rep | 提供資產管理 | 2017-05-22 | 2017-06-01 | |
| Rep | 證券交易 | 2017-05-22 | 2017-06-01 | |
| CMB International Asset Management Limited | Rep | 就證券提供意見 | 2014-11-26 | 2017-05-12 |
| Rep | 提供資產管理 | 2014-11-26 | 2017-05-12 | |
| QUANTSMILE (HK) LIMITED | Rep | 提供資產管理 | 2012-11-16 | 2014-10-13 |
| T G SECURITIES LIMITED | Rep | 期貨合約交易 | 2011-05-11 | 2014-10-13 |
| Rep | 證券交易 | 2011-05-11 | 2014-10-13 | |
| UBS SECURITIES ASIA LIMITED | Rep | 就證券提供意見 | 2007-08-01 | 2009-05-16 |
已採集記錄中暫無金管局登記。