| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CS Wealth Asset Management Limited | RO | 就證券提供意見 | 2017-05-12 | 2025-01-09 |
| RO | 提供資產管理 | 2017-05-12 | 2025-01-09 | |
| ASSOCIATED ADVISERS LIMITED | RO | 就證券提供意見 | 2004-10-08 | 2016-10-01 |
| RO | 提供資產管理 | 2004-10-08 | 2016-10-01 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-02-26 | 2004-09-21 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2003-12-29 | 2004-09-21 |
| Zhonghao International Futures Co., Limited | Rep | 期貨合約交易 | 2003-09-01 | 2003-12-16 |
| AIM Y.K. HUI INVESTMENT CONSULTANTS LIMITED | Rep | 就期貨合約提供意見 | - | 2003-12-16 |
| RO | 就證券提供意見 | - | 2003-12-16 | |
| Rep | 提供資產管理 | - | 2003-12-16 |