| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2009-09-14 | 2010-07-16 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-09-14 | 2010-07-16 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2009-08-31 | 2010-07-16 |
| OnePlatform Asset Management Limited | Rep | 就證券提供意見 | 2008-04-10 | 2009-04-01 |