| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | 期貨合約交易 | 2010-09-06 | 2012-01-31 |
| Rep | 證券交易 | 2010-09-06 | 2012-01-31 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2009-06-22 | 2009-11-18 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-06-22 | 2009-11-18 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-06-22 | 2009-11-18 |