| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2011-11-14 | 2012-05-04 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2011-01-21 | 2012-05-04 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 就證券提供意見 | 2010-10-11 | 2011-01-12 |
| Rep | 證券交易 | 2010-10-11 | 2011-01-12 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-11-21 | 2010-01-01 |
| Rep | 就證券提供意見 | 2008-10-06 | 2010-01-01 | |
| OnePlatform Asset Management Limited | Rep | 就證券提供意見 | 2008-04-15 | 2008-09-11 |