| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2015-03-16 | 2017-02-16 |
| Rep | 證券交易 | 2015-03-16 | 2017-02-16 | |
| LW Asset Management Advisors Limited | Rep | 提供資產管理 | 2013-07-18 | 2015-01-31 |
| RHB FUTURES HONG KONG LIMITED | Rep | 期貨合約交易 | 2013-03-12 | 2013-06-24 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2013-03-12 | 2013-06-24 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2008-05-20 | 2010-07-09 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2008-05-20 | 2010-07-09 |