| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| RICH CAPITAL INTERNATIONAL INVESTMENT LIMITED | RO | 就證券提供意見 | 2019-12-12 | 2025-02-28 |
| RO | 提供資產管理 | 2019-12-12 | 2025-02-28 | |
| HONGKONG BAY ASSET MANAGEMENT LIMITED | RO | 就證券提供意見 | 2018-02-01 | 2019-04-29 |
| RO | 提供資產管理 | 2017-12-27 | 2019-04-29 | |
| Rep | 提供資產管理 | 2017-02-01 | 2017-12-27 | |
| Hongkong Bay Securities Limited | RO | 就證券提供意見 | 2016-09-26 | 2019-04-29 |
| RO | 證券交易 | 2015-07-14 | 2019-04-29 | |
| Rep | 證券交易 | 2015-04-17 | 2015-07-14 | |
| Rep | 證券交易 | 2014-02-19 | 2015-03-27 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-10-07 | 2010-02-05 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-10-07 | 2010-02-05 |