| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Jone Portman Limited | RO | 期貨合約交易 | 2023-04-19 | 2024-06-05 |
| RO | 就期貨合約提供意見 | 2023-04-19 | 2026-08-21 | |
| RO | 就證券提供意見 | 2021-05-20 | - | |
| RO | 提供資產管理 | 2021-05-20 | - | |
| RO | 證券交易 | 2021-05-20 | 2024-06-05 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2019-12-09 | 2020-01-24 |
| KGI Asset Management Limited | Rep | 提供資產管理 | 2019-12-09 | 2020-01-24 |
| YICKO SECURITIES LIMITED | Rep | 就證券提供意見 | 2018-01-25 | 2018-02-26 |
| Rep | 證券交易 | 2018-01-25 | 2018-02-26 | |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2010-02-17 | 2010-09-29 |
| Emperor Wealth Management Limited | Rep | 證券交易 | 2010-02-17 | 2010-09-29 |