| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Interactive Brokers Hong Kong Limited | Rep | 槓桿式外匯交易 | 2016-10-28 | 2018-06-09 |
| Rep | 期貨合約交易 | 2016-05-24 | 2018-06-09 | |
| Rep | 證券交易 | 2016-05-24 | 2018-06-09 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2015-06-05 | 2016-05-14 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2015-06-05 | 2016-05-14 |
| Rep | 證券交易 | 2015-06-05 | 2016-05-14 |