| 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 | 2013-07-02 | 2016-12-31 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2011-12-28 | 2016-12-31 |
| Rep | 證券交易 | 2011-12-28 | 2016-12-31 | |
| BGC SECURITIES (HONG KONG) LLC | Rep | 期貨合約交易 | 2010-07-07 | 2011-03-08 |
| Rep | 證券交易 | 2010-07-07 | 2011-03-08 | |
| BTIG Hong Kong Limited | Rep | 證券交易 | 2009-05-26 | 2010-05-06 |
| BEAR STEARNS ASIA LIMITED | Rep | 期貨合約交易 | 2008-04-07 | 2008-05-30 |
| Rep | 證券交易 | 2008-04-07 | 2008-05-30 |