| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2006-03-01 | - |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2006-02-06 | - |
| HOORAY SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-11-30 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-11-30 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-11-30 | |
| Rep | 證券交易 | 2003-04-01 | 2006-01-20 | |
| VERCAP Financial Services Limited | Rep | 期貨合約交易 | 2003-04-01 | 2005-03-04 |
已採集記錄中暫無金管局登記。