| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-08-14 | - |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2007-03-06 | - |
| TISCO SECURITIES HONG KONG LIMITED | RO | 就證券提供意見 | 2005-02-24 | 2007-02-28 |
| RO | 證券交易 | 2005-02-24 | 2007-02-28 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-02-24 | |
| Rep | 證券交易 | 2003-04-01 | 2005-02-24 | |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2005-03-30 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-03-30 |
已採集記錄中暫無金管局登記。