| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RHB FUTURES HONG KONG LIMITED | Rep | 期貨合約交易 | 2010-06-03 | 2012-05-24 |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2010-06-03 | 2012-05-24 |
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2009-07-02 | 2010-05-22 |
| Rep | 證券交易 | 2009-06-24 | 2010-05-22 | |
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2007-05-21 | 2008-07-31 |
| Rep | 證券交易 | 2007-05-21 | 2009-06-21 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2007-05-21 | 2008-07-31 |