| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CAPITAL GLOBAL MANAGEMENT LIMITED | Rep | 證券交易 | 2013-07-25 | 2013-11-06 |
| FIRST SECURITIES (HK) LIMITED | Rep | 證券交易 | 2011-06-10 | 2013-03-01 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-05-23 | 2011-06-02 |
| KGI WEALTH MANAGEMENT LIMITED | Rep | 證券交易 | 2011-05-23 | 2011-06-02 |
| CAPITAL GLOBAL MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2011-01-20 | 2011-02-28 |
| Rep | 證券交易 | 2011-01-20 | 2011-02-28 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2010-01-28 | 2010-12-13 |
| KGI WEALTH MANAGEMENT LIMITED | Rep | 證券交易 | 2007-06-13 | 2010-10-28 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2007-01-04 | 2007-05-31 |