| 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 | 2016-05-27 | 2017-06-07 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2016-05-27 | 2017-06-07 |
| IMPERIUM INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2015-01-15 | 2015-02-17 |
| CENTALINE WEALTH MANAGEMENT LIMITED | Rep | 證券交易 | 2014-09-15 | 2014-12-15 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2012-01-06 | 2014-04-18 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2012-01-06 | 2014-04-18 |