| 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 | 2018-02-21 | - |
| RICH PLEASURE SECURITIES LIMITED | Rep | 證券交易 | 2017-03-02 | 2018-02-01 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2017-02-09 | 2017-02-21 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2013-12-10 | 2017-02-21 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | 證券交易 | 2007-01-29 | 2013-09-04 |
| BOSCO SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2005-01-20 |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-01-20 | |
| Rep | 提供資產管理 | 2003-04-01 | 2005-01-20 | |
| Rep | 證券交易 | 2003-04-01 | 2007-01-19 |