| 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 | 2022-02-28 |
| Rep | 證券交易 | 2017-10-03 | 2022-02-28 | |
| Rep | 就證券提供意見 | 2009-03-24 | 2017-10-02 | |
| Rep | 證券交易 | 2009-03-05 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-03-05 | 2022-02-28 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2007-08-21 | 2009-02-19 |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2004-05-15 | 2009-02-19 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期貨合約提供意見 | - | 2003-11-11 |
| Rep | 提供資產管理 | - | 2003-11-11 | |
| Rep | 期貨合約交易 | - | 2003-11-11 |