| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINOMAX SECURITIES LIMITED | Rep | 證券交易 | 2019-03-19 | 2022-01-31 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2019-02-21 |
| Rep | 證券交易 | 2016-06-10 | 2017-10-02 | |
| Quam Securities Limited | Rep | 證券交易 | 2011-04-18 | 2016-05-31 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-04-01 | 2011-04-14 |
| KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | 就機構融資提供意見 | - | 2004-01-02 |
| Rep | 就證券提供意見 | - | 2004-01-02 | |
| Rep | 提供資產管理 | - | 2004-01-02 | |
| Rep | 提供自動化交易服務 | - | 2004-01-02 | |
| Rep | 證券交易 | - | 2005-04-01 |