| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Finex Hong Kong Limited | RO | 就证券提供意见 | 2024-11-18 | - |
| RO | 提供资产管理 | 2024-11-18 | - | |
| RO | 证券交易 | 2024-11-18 | - | |
| Rep | 就证券提供意见 | 2024-10-08 | 2024-11-18 | |
| Rep | 提供资产管理 | 2024-10-08 | 2024-11-18 | |
| Rep | 证券交易 | 2024-10-08 | 2024-11-18 | |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | RO | 就证券提供意见 | 2023-01-16 | 2024-09-25 |
| RO | 提供资产管理 | 2023-01-16 | 2024-09-25 | |
| RO | 证券交易 | 2023-01-16 | 2024-09-25 | |
| Rep | 就证券提供意见 | 2022-12-08 | 2023-01-16 | |
| Rep | 提供资产管理 | 2022-12-08 | 2023-01-16 | |
| Rep | 证券交易 | 2022-12-08 | 2023-01-16 | |
| SMART FULLRICH CAPITAL LIMITED | RO | 就证券提供意见 | 2020-01-21 | 2021-08-24 |
| RO | 提供资产管理 | 2020-01-21 | 2021-08-24 | |
| RO | 证券交易 | 2020-01-21 | 2021-08-24 | |
| Rep | 提供资产管理 | 2019-11-07 | 2020-01-21 | |
| uSmart Securities Limited | Rep | 提供资产管理 | 2019-05-29 | 2019-06-06 |
| JAKOTA ASSET MANAGEMENT LIMITED | RO | 提供资产管理 | 2018-11-23 | 2019-03-09 |
| Innovest Securities Investment Limited | RO | 证券交易 | 2018-07-16 | 2018-08-31 |
| Towering Securities Limited | RO | 就证券提供意见 | 2017-11-01 | 2018-07-06 |
| RO | 提供资产管理 | 2017-11-01 | 2018-07-06 | |
| RO | 证券交易 | 2017-11-01 | 2018-07-06 | |
| FULBRIGHT FUTURES LIMITED | Rep | 期货合约交易 | 2015-12-17 | 2017-06-16 |
| FULBRIGHT SECURITIES LIMITED | Rep | 就证券提供意见 | 2015-12-17 | 2017-06-16 |
| Rep | 证券交易 | 2015-12-17 | 2017-06-16 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2012-05-16 | 2015-12-12 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期货合约交易 | 2011-10-06 | 2015-12-12 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 证券交易 | 2011-10-06 | 2015-12-12 |
已采集记录中暂无金管局登记。