| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2018-12-17 |
| Rep | 證券交易 | 2016-06-23 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2016-06-23 | 2018-12-17 |
| AVIA ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2015-12-28 | 2016-06-20 |
| Rep | 提供資產管理 | 2015-12-28 | 2016-06-20 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-07-31 | 2015-12-06 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-06-26 | 2015-12-06 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 證券交易 | 2008-04-07 | 2008-06-20 |