| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2015-10-27 | 2018-01-28 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2015-06-18 | 2018-01-28 |
| Rep | 證券交易 | 2006-06-26 | 2010-06-05 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-27 |
| Rep | 就證券提供意見 | - | 2004-02-27 | |
| Rep | 證券交易 | - | 2006-06-22 |