| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2015-03-16 | 2015-12-25 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2014-10-10 | 2015-12-25 |
| DELTA ASIA SECURITIES LIMITED | Rep | 證券交易 | 2014-06-11 | 2014-09-29 |
| PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED | Rep | 就證券提供意見 | 2005-05-24 | 2006-08-22 |