| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Funderstone Futures Limited | Rep | 期貨合約交易 | 2008-10-20 | 2015-06-08 |
| Funderstone Securities Limited | Rep | 證券交易 | 2005-03-14 | 2015-06-08 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2003-08-05 | 2005-03-10 |
| KGI ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2003-04-16 |
| Rep | 就證券提供意見 | - | 2003-04-16 | |
| Rep | 提供資產管理 | - | 2003-04-16 | |
| Rep | 證券交易 | - | 2003-04-16 |