| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Yellow River Securities Limited | RO | 證券交易 | 2020-02-13 | - |
| Rep | 證券交易 | 2020-02-03 | 2020-02-13 | |
| FT Securities Limited | RO | 就證券提供意見 | 2018-04-12 | 2019-11-02 |
| RO | 證券交易 | 2018-04-12 | 2019-11-02 | |
| Rep | 證券交易 | 2018-03-26 | 2018-04-12 | |
| Goldin Equities Limited | RO | 期貨合約交易 | 2016-10-25 | 2018-03-02 |
| RO | 證券交易 | 2016-08-31 | 2018-03-02 | |
| SFGHK Limited | RO | 證券交易 | 2011-09-06 | 2016-08-21 |
| Goldin Equities Limited | RO | 期貨合約交易 | 2010-08-11 | 2011-09-04 |
| Rep | 期貨合約交易 | 2010-06-15 | 2010-08-11 | |
| Rep | 證券交易 | 2010-06-15 | 2011-09-04 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2004-11-26 | 2010-06-10 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2003-04-01 | 2010-06-10 |
已採集記錄中暫無金管局登記。