| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Marex Financial Services Hong Kong Limited | RO | 期货合约交易 | 2024-02-06 | - |
| RO | 证券交易 | 2024-02-06 | - | |
| Rep | 期货合约交易 | 2023-12-01 | 2024-02-06 | |
| Rep | 证券交易 | 2023-12-01 | 2024-02-06 | |
| Xeram and Company (Asia) Limited | RO | 期货合约交易 | 2019-05-17 | 2023-11-30 |
| RO | 证券交易 | 2019-05-17 | 2023-11-30 | |
| Makto Capital Management Limited | RO | 就证券提供意见 | 2017-09-20 | 2018-02-08 |
| Rep | 就证券提供意见 | 2017-05-23 | 2017-09-20 | |
| Rep | 提供资产管理 | 2017-05-23 | 2018-02-08 | |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 提供自动化交易服务 | 2014-06-04 | 2015-11-30 |
| Rep | 期货合约交易 | 2014-06-04 | 2016-11-25 | |
| Rep | 证券交易 | 2014-06-04 | 2016-11-25 | |
| CICC US Securities (Hong Kong) Limited | RO | 证券交易 | 2013-10-24 | 2013-12-23 |
| Rep | 证券交易 | 2012-11-28 | 2013-10-24 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | 期货合约交易 | 2012-08-13 | 2013-12-23 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 证券交易 | 2012-08-13 | 2013-12-23 |
| NOMURA SECURITIES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2011-08-15 | 2012-06-20 |
| Rep | 证券交易 | 2011-08-15 | 2012-06-20 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2011-08-02 | 2012-06-20 |
| Rep | 证券交易 | 2011-08-02 | 2012-06-20 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | 就证券提供意见 | 2010-09-16 | 2011-01-10 |
| RO | 证券交易 | 2010-09-16 | 2011-01-10 | |
| BEAR STEARNS ASIA LIMITED | RO | 就期货合约提供意见 | 2008-09-24 | 2009-11-30 |
| RO | 就证券提供意见 | 2008-09-24 | 2009-11-30 | |
| RO | 期货合约交易 | 2008-09-24 | 2009-11-30 | |
| RO | 证券交易 | 2008-09-24 | 2009-11-30 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | 就期货合约提供意见 | 2008-09-24 | 2011-01-10 |
| RO | 就证券提供意见 | 2008-09-24 | 2011-01-10 | |
| RO | 期货合约交易 | 2008-09-24 | 2011-01-10 | |
| RO | 证券交易 | 2008-09-24 | 2011-01-10 | |
| Rep | 就期货合约提供意见 | 2008-05-13 | 2008-09-24 | |
| Rep | 就证券提供意见 | 2008-05-13 | 2008-09-24 | |
| Rep | 期货合约交易 | 2008-04-18 | 2008-09-24 | |
| Rep | 证券交易 | 2008-04-18 | 2008-09-24 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2004-06-11 | 2008-03-04 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-06-01 |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-06-01 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-06-01 | |
| Rep | 证券交易 | 2003-04-01 | 2008-03-04 | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-06-01 |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-06-01 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-06-01 | |
| Rep | 证券交易 | 2003-04-01 | 2008-03-04 |
已采集记录中暂无金管局登记。