| Institution |
Role |
Licences |
Start date |
End date |
| Glenworth Capital Limited |
RO |
9 |
27 February 2023 |
|
| Glenworth Capital Limited |
RO |
4 |
27 February 2023 |
|
| CC Venture Capital Limited 邁進機遇風險投資有限公司 |
RE |
9 |
08 November 2022 |
01 February 2023 |
| CC Venture Capital Limited 邁進機遇風險投資有限公司 |
RE |
4 |
08 November 2022 |
01 February 2023 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO |
9 |
02 September 2021 |
09 February 2022 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO |
4 |
02 September 2021 |
09 February 2022 |
| Glenworth Capital Limited |
RO |
9 |
23 January 2020 |
01 August 2021 |
| Glenworth Capital Limited |
RO |
4 |
23 January 2020 |
01 August 2021 |
| Glenworth Capital Limited |
RE |
9 |
19 November 2019 |
23 January 2020 |
| Glenworth Capital Limited |
RE |
4 |
19 November 2019 |
23 January 2020 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RO |
4 |
02 May 2018 |
24 October 2019 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RO |
9 |
11 April 2018 |
24 October 2019 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RE |
1 |
20 May 2016 |
24 October 2019 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RE |
4 |
20 May 2016 |
02 May 2018 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RE |
9 |
20 May 2016 |
11 April 2018 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
RO |
4 |
02 June 2015 |
11 March 2016 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RO |
9 |
23 January 2015 |
11 March 2016 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RO |
4 |
23 January 2015 |
11 March 2016 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RE |
9 |
15 December 2014 |
23 January 2015 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RE |
4 |
15 December 2014 |
23 January 2015 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
RE |
1 |
12 December 2014 |
11 March 2016 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO |
9 |
25 February 2013 |
07 August 2014 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO |
4 |
25 February 2013 |
07 August 2014 |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
RE |
2 |
01 August 2012 |
07 August 2014 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RE |
4 |
01 August 2012 |
07 August 2014 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RE |
1 |
01 August 2012 |
07 August 2014 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RO |
9 |
27 September 2010 |
01 April 2012 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RO |
4 |
27 September 2010 |
01 April 2012 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RE |
9 |
20 August 2010 |
27 September 2010 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RE |
4 |
20 August 2010 |
27 September 2010 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO |
9 |
15 December 2009 |
13 August 2010 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO |
4 |
15 December 2009 |
13 August 2010 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RE |
1 |
15 December 2009 |
13 August 2010 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RE |
2 |
15 December 2009 |
13 August 2010 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RE |
9 |
30 September 2009 |
15 December 2009 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RE |
4 |
30 September 2009 |
15 December 2009 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
RE |
9 |
05 March 2009 |
17 September 2009 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
RE |
4 |
05 March 2009 |
17 September 2009 |
| Bright Fund Management Limited 光明投資管理有限公司 |
RE |
9 |
04 January 2008 |
03 December 2008 |
| Bright Fund Management Limited 光明投資管理有限公司 |
RE |
4 |
04 January 2008 |
03 December 2008 |
| Bright Fund Management Limited 光明投資管理有限公司 |
RE |
1 |
04 January 2008 |
03 December 2008 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
RE |
2 |
04 January 2008 |
03 December 2008 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO |
4 |
28 February 2007 |
07 December 2007 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RE |
4 |
09 May 2006 |
28 February 2007 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
RE |
4 |
29 December 2005 |
19 April 2006 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
RE |
4 |
04 August 2005 |
11 November 2005 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 |
RE |
2 |
27 October 2003 |
31 May 2005 |
| Delta Asia Securities Limited 滙業證券有限公司 |
RE |
1 |
27 October 2003 |
31 May 2005 |
| Delta Asia Securities Limited 滙業證券有限公司 |
RE |
6 |
27 October 2003 |
14 January 2005 |