| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Rabo Brokerage HK Limited | RO | 證券交易 | 2007-09-12 | 2013-08-01 |
| GRAND CATHAY SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2004-12-07 | 2005-02-07 |
| RO | 證券交易 | 2004-12-07 | 2005-04-11 | |
| Rep | 證券交易 | 2004-06-29 | 2004-12-07 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2003-12-05 | 2004-06-14 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2003-12-05 | 2004-06-14 |