| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2009-09-23 | 2011-05-01 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2009-09-23 | 2011-05-01 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2009-09-23 | 2011-05-01 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-12-09 | 2009-09-19 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-03-23 | 2009-09-19 |
| TSE'S SECURITIES LIMITED | Rep | 證券交易 | 2005-06-20 | 2007-01-22 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2004-11-18 | 2005-05-27 |