| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| China Asset Management (Hong Kong) Limited | RO | 就证券提供意见 | 2024-04-05 | - |
| RO | 提供资产管理 | 2024-04-05 | - | |
| Rep | 就证券提供意见 | 2024-03-25 | 2024-04-05 | |
| Rep | 提供资产管理 | 2024-03-25 | 2024-04-05 | |
| Pando Finance Limited | RO | 证券交易 | 2023-10-09 | 2024-03-03 |
| RO | 就证券提供意见 | 2023-09-01 | 2024-03-03 | |
| RO | 提供资产管理 | 2023-09-01 | 2024-03-03 | |
| Rep | 证券交易 | 2023-06-19 | 2023-10-09 | |
| Rep | 就证券提供意见 | 2023-04-24 | 2023-09-01 | |
| Rep | 提供资产管理 | 2023-04-24 | 2023-09-01 | |
| CMS ASSET MANAGEMENT (HK) CO., LIMITED | RO | 就证券提供意见 | 2021-04-30 | 2023-04-21 |
| RO | 提供资产管理 | 2021-04-30 | 2023-04-21 | |
| Rep | 就证券提供意见 | 2021-02-09 | 2021-04-30 | |
| Rep | 提供资产管理 | 2021-02-09 | 2021-04-30 | |
| FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED | RO | 就证券提供意见 | 2019-12-06 | 2021-02-08 |
| RO | 提供资产管理 | 2019-12-06 | 2021-02-08 | |
| SILVER NILE GLOBAL INVESTMENTS LIMITED | RO | 就证券提供意见 | 2019-07-10 | 2019-11-27 |
| RO | 提供资产管理 | 2019-07-10 | 2019-11-27 | |
| RO | 证券交易 | 2019-07-10 | 2019-11-27 | |
| Rep | 提供资产管理 | 2019-06-13 | 2019-07-10 | |
| SKYVAST ASSET MANAGEMENT LIMITED | RO | 提供资产管理 | 2019-04-04 | 2019-05-31 |
| Rep | 提供资产管理 | 2019-03-27 | 2019-04-04 | |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | RO | 提供资产管理 | 2016-09-29 | 2019-03-14 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 就证券提供意见 | 2016-09-29 | 2019-03-14 |
| RO | 证券交易 | 2016-09-29 | 2019-03-14 | |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 提供资产管理 | 2016-07-26 | 2016-09-29 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就证券提供意见 | 2016-07-26 | 2016-09-29 |
| Rep | 证券交易 | 2016-07-26 | 2016-09-29 | |
| Anbang Asset Management (Hong Kong) Co. Limited | RO | 就证券提供意见 | 2015-06-23 | 2016-06-29 |
| RO | 提供资产管理 | 2015-06-23 | 2016-06-29 | |
| RO | 证券交易 | 2015-06-23 | 2016-06-29 | |
| Rep | 就证券提供意见 | 2014-04-23 | 2015-06-23 | |
| Rep | 证券交易 | 2014-04-23 | 2015-06-23 | |
| Rep | 提供资产管理 | 2013-12-24 | 2015-06-23 | |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2009-08-31 | 2013-12-06 |
| Rep | 提供资产管理 | 2009-08-31 | 2013-12-06 | |
| PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | Rep | 就证券提供意见 | 2007-02-28 | 2009-08-31 |
| Rep | 提供资产管理 | 2007-02-28 | 2009-08-31 | |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2007-02-28 | 2008-01-18 |
| Rep | 提供资产管理 | 2007-02-28 | 2008-01-18 |
已采集记录中暂无金管局登记。