| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2015-01-28 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2013-07-30 | - |
| ABCI Securities Company Limited | Rep | 證券交易 | 2009-08-20 | 2012-12-10 |
| Rep | 就證券提供意見 | 2009-08-20 | 2013-04-13 | |
| KGI WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2008-07-15 | 2009-08-13 |
| Rep | 證券交易 | 2008-07-15 | 2009-08-13 |