| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CMB International Global Markets Limited | Rep | 就证券提供意见 | 2022-09-06 | - |
| RO | 证券交易 | 2022-07-14 | - | |
| Rep | 证券交易 | 2021-09-17 | 2022-07-14 | |
| CMB International Securities Limited | Rep | 就证券提供意见 | 2020-12-16 | - |
| Rep | 证券交易 | 2020-12-16 | - | |
| CLSA LIMITED | Rep | 证券交易 | 2018-03-12 | 2019-12-11 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2016-10-03 | 2017-12-22 |
| Rep | 证券交易 | 2016-10-03 | 2017-12-22 | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 提供自动化交易服务 | 2014-07-08 | 2016-06-29 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2013-05-29 | 2016-06-29 |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 证券交易 | 2013-05-29 | 2016-06-29 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2013-05-29 | 2016-06-29 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2011-01-03 | 2013-03-16 |
| Rep | 证券交易 | 2011-01-03 | 2013-03-16 | |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2011-01-03 | 2013-03-16 |
| Rep | 证券交易 | 2011-01-03 | 2013-03-16 | |
| CLSA FUTURES LIMITED | Rep | 期货合约交易 | 2008-06-02 | 2010-11-23 |
| CLSA LIMITED | Rep | 证券交易 | 2008-06-02 | 2010-11-23 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期货合约提供意见 | 2007-11-19 | 2008-04-24 |
| Rep | 期货合约交易 | 2007-11-19 | 2008-04-24 | |
| Rep | 就证券提供意见 | 2006-09-21 | 2008-04-24 | |
| Rep | 证券交易 | 2006-09-04 | 2008-04-24 | |
| CGS International Securities Hong Kong Limited | Rep | 证券交易 | 2004-04-21 | 2006-08-12 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就期货合约提供意见 | 2003-12-06 | 2004-02-09 |
| Rep | 期货合约交易 | 2003-12-06 | 2004-02-09 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | 就证券提供意见 | 2003-09-17 | 2004-02-09 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-09-13 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-09-13 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2003-09-13 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-02-09 | |
| Rep | 证券交易 | 2003-04-01 | 2004-02-09 | |
| J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | 提供资产管理 | 2003-04-01 | 2003-09-13 |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2003-09-13 | |
| Rep | 就期货合约提供意见 | 2003-04-01 | 2003-12-06 | |
| Rep | 期货合约交易 | 2003-04-01 | 2003-12-06 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-09-13 |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-02-09 | |
| Rep | 证券交易 | 2003-04-01 | 2004-02-09 |
已采集记录中暂无金管局登记。