| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BEA Union Investment Management Limited | Rep | 提供資產管理 | 2021-02-19 | - |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2016-06-06 | 2021-01-10 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 就證券提供意見 | 2015-12-30 | 2016-05-15 |
| Rep | 就證券提供意見 | 2015-08-21 | 2015-12-30 | |
| HANG SENG INVESTMENT SERVICES LIMITED | Rep | 就證券提供意見 | 2015-03-24 | 2015-08-07 |
| CINDA INTERNATIONAL RESEARCH LIMITED | Rep | 就證券提供意見 | 2012-02-08 | 2014-11-14 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2009-05-06 | 2012-01-02 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-05-06 | 2012-01-02 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2009-05-06 | 2012-01-02 |
已採集記錄中暫無金管局登記。