| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 就證券提供意見 | 2015-04-02 | 2016-12-28 |
| Rep | 證券交易 | 2015-04-02 | 2016-12-28 | |
| KGI Asset Management Limited | Rep | 就機構融資提供意見 | 2013-08-26 | 2016-11-22 |
| Rep | 就證券提供意見 | 2013-08-26 | 2016-12-28 | |
| Rep | 證券交易 | 2013-08-26 | 2016-12-28 | |
| T G HOLBORN (HK) LIMITED | Rep | 就機構融資提供意見 | 2008-02-14 | 2013-11-06 |
| Rep | 就證券提供意見 | 2008-01-29 | 2013-11-06 | |
| WORL-D ASSET MANAGEMENT (HONG KONG) LIMITED | Rep | 提供資產管理 | 2006-06-12 | 2008-01-15 |
| Rep | 就證券提供意見 | 2006-04-03 | 2008-01-15 | |
| T G HOLBORN (HK) LIMITED | Rep | 就機構融資提供意見 | - | 2006-03-02 |
| Rep | 就證券提供意見 | - | 2006-03-02 |