| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CMB INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2020-01-09 | - |
| CMB International Securities Limited | Rep | 就證券提供意見 | 2020-01-09 | - |
| Rep | 證券交易 | 2020-01-09 | - | |
| BOCI SECURITIES LIMITED | Rep | 就證券提供意見 | 2018-07-27 | 2019-11-22 |
| Rep | 槓桿式外匯交易 | 2012-04-12 | 2014-11-24 | |
| Rep | 期貨合約交易 | 2006-10-04 | 2019-11-22 | |
| Rep | 證券交易 | 2006-10-04 | 2019-11-22 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2006-04-19 | 2006-08-10 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2006-04-19 | 2006-08-10 |