| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UZen Securities Limited | Rep | 證券交易 | 2022-11-24 | 2023-01-01 |
| Opus Capital Limited (HK) | Rep | 證券交易 | 2022-03-31 | 2022-12-10 |
| Rep | 就機構融資提供意見 | 2022-03-31 | 2023-01-01 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2021-09-28 | 2022-02-16 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2020-08-03 | 2022-02-16 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2020-08-03 | 2022-02-16 |