| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2017-10-03 | - |
| Rep | 證券交易 | 2017-10-03 | - | |
| Rep | 就證券提供意見 | 2008-06-24 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-06-24 | - |
| KGI ASIA LIMITED | Rep | 證券交易 | 2008-05-23 | 2017-10-02 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-05-23 | 2008-01-04 |
| Quam Securities Limited | Rep | 就證券提供意見 | 2006-02-27 | 2007-02-28 |
| CENTALINE WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2004-08-11 | 2005-12-21 |
| GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-08-10 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-08-10 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-08-10 |