| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Ninety One Hong Kong Limited | RO | 期货合约交易 | 2023-09-13 | - |
| RO | 提供资产管理 | 2019-05-14 | - | |
| RO | 就证券提供意见 | 2019-01-02 | - | |
| RO | 证券交易 | 2019-01-02 | - | |
| Rep | 就证券提供意见 | 2018-11-01 | 2019-01-02 | |
| Rep | 证券交易 | 2018-11-01 | 2019-01-02 | |
| HSBC BROKING FOREX (ASIA) LIMITED | RO | 杠杆式外汇交易 | 2017-10-09 | 2018-10-05 |
| HSBC BROKING FUTURES (ASIA) LIMITED | RO | 期货合约交易 | 2017-10-09 | 2018-10-05 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | 就证券提供意见 | 2015-01-19 | 2018-10-05 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 杠杆式外汇交易 | 2014-04-11 | 2017-10-09 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2014-04-11 | 2017-10-09 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | 证券交易 | 2014-04-11 | 2018-10-05 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | RO | 证券交易 | 2014-04-11 | 2018-10-05 |
| BNY Mellon Investment Management Hong Kong Limited | Rep | 就证券提供意见 | 2013-01-25 | 2014-03-25 |
| Rep | 证券交易 | 2013-01-25 | 2014-03-25 | |
| FIL Investment Management (Hong Kong) Limited | RO | 就证券提供意见 | 2008-03-26 | 2008-05-07 |
| RO | 证券交易 | 2008-03-26 | 2008-05-07 | |
| Rep | 就证券提供意见 | 2007-06-28 | 2008-03-26 | |
| Rep | 提供资产管理 | 2007-06-28 | 2008-05-07 | |
| Rep | 就机构融资提供意见 | 2003-04-01 | 2004-10-20 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-10-20 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-10-20 | |
| Rep | 证券交易 | 2003-04-01 | 2008-03-26 |
已采集记录中暂无金管局登记。