| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Nerico Brothers Limited (HK) | Rep | 期貨合約交易 | 2008-10-15 | 2009-01-22 |
| Rep | 證券交易 | 2008-10-15 | 2009-01-22 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2007-01-23 | 2008-09-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-09-30 | 2008-09-13 |