| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CELESTIAL SECURITIES LIMITED | Rep | 證券交易 | 2010-09-30 | 2011-03-05 |
| CASH Wealth Management Limited | Rep | 就證券提供意見 | 2010-03-05 | 2011-03-05 |
| Rep | 提供資產管理 | 2010-03-05 | 2011-03-05 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-08-13 | 2009-11-28 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-08-13 | 2009-11-28 |