| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCOM International Securities Limited | Rep | 就期貨合約提供意見 | 2016-05-27 | 2019-04-30 |
| Rep | 就證券提供意見 | 2016-05-27 | 2019-04-30 | |
| Rep | 期貨合約交易 | 2015-04-10 | 2019-04-30 | |
| Rep | 證券交易 | 2015-04-10 | 2019-04-30 | |
| PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | 提供資產管理 | 2014-07-18 | 2015-03-31 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2011-12-06 | 2015-03-31 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2011-12-06 | 2015-03-31 |