| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2023-06-20 | 2025-07-11 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2023-05-24 |
| Rep | 證券交易 | 2015-12-31 | 2017-10-02 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-10-17 | 2015-12-25 |
| WIN WONG SECURITIES LIMITED | Rep | 就機構融資提供意見 | - | 2004-03-31 |
| Rep | 就證券提供意見 | - | 2004-03-31 | |
| Rep | 提供資產管理 | - | 2004-03-31 | |
| Rep | 證券交易 | - | 2007-10-13 |