| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| WEST BULL SECURITIES LIMITED | RO | 就证券提供意见 | 2021-12-13 | - |
| RO | 证券交易 | 2021-12-13 | - | |
| Rep | 就证券提供意见 | 2021-11-10 | 2021-12-13 | |
| Rep | 证券交易 | 2021-11-10 | 2021-12-13 | |
| SBI China Capital Financial Services Limited | RO | 就证券提供意见 | 2020-11-26 | 2021-05-10 |
| SBI China Capital Hong Kong Securities Limited | Rep | 就机构融资提供意见 | 2019-11-19 | 2021-05-10 |
| SBI China Capital Financial Services Limited | Rep | 就证券提供意见 | 2018-12-11 | 2020-11-26 |
| RO | 证券交易 | 2018-04-11 | 2021-05-10 | |
| Rep | 证券交易 | 2017-08-31 | 2018-04-11 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 证券交易 | 2016-11-22 | 2017-05-31 |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | RO | 证券交易 | 2016-11-22 | 2017-05-31 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2016-05-30 | 2016-11-22 |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 证券交易 | 2016-05-30 | 2016-11-22 |
| Rep | 就机构融资提供意见 | 2016-05-30 | 2017-05-31 | |
| ORIENTAL PATRON SECURITIES LIMITED | Rep | 证券交易 | 2014-12-31 | 2016-03-29 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 证券交易 | 2014-07-18 | 2014-12-13 |
| ORIENTAL PATRON SECURITIES LIMITED | Rep | 证券交易 | 2012-07-24 | 2014-06-14 |
已采集记录中暂无金管局登记。