| 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 | 2020-12-02 |
| Rep | 證券交易 | 2017-10-03 | 2020-12-02 | |
| Rep | 就證券提供意見 | 2012-05-10 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-10-27 | 2020-12-02 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2010-07-06 | 2017-10-02 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 證券交易 | 2010-05-31 | 2010-06-10 |