| 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 | 2007-11-02 | 2010-08-16 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-09-20 | 2010-08-16 |
| Lion Global Financial Limited | Rep | 提供資產管理 | 2004-12-10 | 2005-08-12 |
| Rep | 就證券提供意見 | 2004-10-21 | 2005-08-12 | |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就證券提供意見 | 2003-07-30 | 2004-10-21 |