| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FIL Investment Management (Hong Kong) Limited | Rep | 就證券提供意見 | 2014-01-02 | 2015-03-08 |
| Rep | 證券交易 | 2014-01-02 | 2015-03-08 | |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2012-03-09 | 2012-10-03 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2012-03-09 | 2012-10-03 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2010-10-27 | 2010-12-30 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2010-10-27 | 2010-12-30 |