| 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 | 2007-06-18 | 2010-08-25 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-06-18 | 2010-08-25 |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2005-08-12 | 2007-06-11 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | 提供資產管理 | 2005-08-12 | 2007-06-11 |
| Rep | 證券交易 | 2005-08-12 | 2007-06-11 |