| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2015-07-03 | 2022-06-30 |
| KGI CAPITAL ASIA LIMITED | Rep | 就機構融資提供意見 | 2014-09-11 | 2015-06-14 |
| Rep | 證券交易 | 2014-09-11 | 2015-06-14 | |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2013-09-19 | 2014-09-11 |
| Rep | 證券交易 | 2013-05-29 | 2014-09-11 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2013-05-29 | 2014-09-11 |