| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DBS VICKERS (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-08-21 | 2011-07-19 |
| Rep | 證券交易 | 2007-08-21 | 2011-07-19 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2006-11-29 | 2007-08-10 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2006-11-14 | 2007-08-10 |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-04-12 | 2006-11-01 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | 就機構融資提供意見 | - | 2004-07-23 |
| Rep | 就證券提供意見 | - | 2004-07-23 | |
| Rep | 提供資產管理 | - | 2004-07-23 | |
| Rep | 提供自動化交易服務 | - | 2004-07-23 | |
| Rep | 證券交易 | - | 2005-04-08 |