| 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 | 2018-07-02 |
| Rep | 證券交易 | 2017-10-03 | 2018-07-02 | |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2013-09-30 | 2017-10-02 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2011-04-04 | 2017-10-02 |
| Rep | 證券交易 | 2011-04-04 | 2017-10-02 | |
| FIRST WORLDSEC SECURITIES LIMITED | Rep | 證券交易 | 2010-08-09 | 2011-03-28 |