| 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 | 2021-04-30 |
| Rep | 證券交易 | 2016-08-05 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2016-08-05 | 2021-04-30 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2009-04-22 | 2016-07-29 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-02-03 | 2016-07-29 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 證券交易 | 2003-09-23 | 2009-01-31 |