| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | 就證券提供意見 | 2021-01-21 | 2023-06-16 |
| Rep | 證券交易 | 2021-01-21 | 2023-06-16 | |
| Ayers Alliance Securities (HK) Limited | Rep | 證券交易 | 2015-03-24 | 2016-11-21 |
| IAM LEGACY LIMITED | Rep | 就證券提供意見 | 2010-06-18 | 2012-09-07 |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2009-07-29 | 2010-03-29 |
| Rep | 證券交易 | 2009-07-29 | 2010-03-29 |