| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2010-10-11 | 2011-04-04 |
| Rep | 期貨合約交易 | 2010-10-11 | 2011-04-04 | |
| Rep | 證券交易 | 2010-10-11 | 2011-04-04 | |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2010-05-31 | 2010-10-04 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-06-17 | 2010-10-04 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2009-05-19 | 2010-10-04 |
| YF Life Investors Limited | Rep | 證券交易 | 2008-10-23 | 2009-03-10 |