| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | RO | 就證券提供意見 | 2007-10-18 | - |
| RO | 提供資產管理 | 2007-10-18 | - | |
| KARL-THOMSON SECURITIES COMPANY LIMITED | RO | 提供資產管理 | 2004-11-26 | - |
| KARL THOMSON FINANCE LIMITED | RO | 提供證券保證金融資 | 2004-11-08 | - |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | RO | 期貨合約交易 | 2004-11-08 | - |
| Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-11-04 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-04 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-11-08 | |
| KARL-THOMSON SECURITIES COMPANY LIMITED | RO | 證券交易 | 2003-04-01 | - |
| RO | 提供自動化交易服務 | 2003-04-01 | 2004-11-04 |