| PHILLIP COMMODITIES (HK) LIMITED | RO | Advising on futures contracts | 2011-12-05 | - |
| PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | RO | Advising on securities | 2003-04-01 | - |
| RO | Asset management | 2003-04-01 | - |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2003-04-01 | - |
| Rep | Providing automated trading services | 2003-04-01 | 2003-08-15 |
| Rep | Asset management | 2003-04-01 | 2003-12-09 |
| Rep | Advising on futures contracts | 2003-04-01 | 2011-12-05 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2003-04-01 | - |
| RO | Asset management | 2003-04-01 | - |
| RO | Providing automated trading services | 2003-04-01 | - |
| RO | Dealing in securities | 2003-04-01 | - |
| RO | Advising on corporate finance | 2003-04-01 | 2005-08-19 |