| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Astrum Capital Management Limited (HK) | Rep | 期貨合約交易 | 2022-08-04 | 2025-08-29 |
| Rep | 證券交易 | 2022-08-04 | 2026-07-30 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2019-09-01 |
| Rep | 證券交易 | 2013-06-07 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2013-06-07 | 2019-09-01 |
| Funderstone Futures Limited | Rep | 期貨合約交易 | 2005-12-13 | 2013-05-31 |
| Funderstone Securities Limited | Rep | 就機構融資提供意見 | - | 2004-11-01 |
| Rep | 就證券提供意見 | - | 2004-11-01 | |
| Rep | 提供資產管理 | - | 2004-11-01 | |
| Rep | 證券交易 | - | 2013-05-31 |