| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2010-04-26 | 2011-02-04 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-04-26 | 2011-02-04 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-05-15 | 2009-03-25 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-05-15 | 2009-03-25 |