| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Macquarie Asia Securities Limited | Rep | 就證券提供意見 | 2020-09-30 | - |
| Rep | 證券交易 | 2020-09-30 | - | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2016-12-19 | 2017-07-25 |
| Rep | 期貨合約交易 | 2016-12-19 | 2017-07-25 | |
| Rep | 證券交易 | 2016-12-19 | 2017-07-25 | |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期貨合約交易 | 2013-05-07 | 2016-12-18 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2011-11-25 | 2016-12-18 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2011-06-20 | 2017-07-25 |
| Rep | 證券交易 | 2011-06-20 | 2017-07-25 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2011-06-20 | 2016-12-18 |
| BUENA VISTA FUND MANAGEMENT (HK) LIMITED | Rep | 提供資產管理 | 2007-02-28 | 2011-05-13 |
| EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES) | RO | 證券交易 | 2006-08-15 | 2007-01-15 |
| Rep | 證券交易 | 2006-02-16 | 2006-08-15 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2005-04-08 | 2006-01-05 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-10-14 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-10-14 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-10-14 | |
| Rep | 證券交易 | 2003-04-01 | 2006-01-05 |
已採集記錄中暫無金管局登記。