| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| TIS SECURITIES (HK) LIMITED | RO | 就機構融資提供意見 | 2010-05-14 | 2011-12-31 |
| RO | 證券交易 | 2010-05-14 | 2011-12-31 | |
| FIRST SECURITIES (HK) LIMITED | Rep | 證券交易 | 2009-12-21 | - |
| KGI CAPITAL (HONG KONG) LIMITED | RO | 證券交易 | 2008-06-20 | 2009-01-01 |
| RO | 就機構融資提供意見 | 2006-12-13 | 2009-01-01 | |
| Rep | 就機構融資提供意見 | 2006-04-18 | 2006-12-13 | |
| KGI WEALTH MANAGEMENT LIMITED | Rep | 就機構融資提供意見 | 2006-04-18 | 2009-12-19 |
| Rep | 證券交易 | 2006-04-18 | 2009-12-19 | |
| MEGA CAPITAL (ASIA) COMPANY LIMITED | RO | 證券交易 | 2004-08-30 | 2006-04-09 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2006-04-09 |