| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited | Rep | 證券交易 | 2014-12-02 | - |
| Soochow Securities International Futures Limited | Rep | 期貨合約交易 | 2014-12-02 | - |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | 期貨合約交易 | 2007-01-17 | 2014-11-07 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | 證券交易 | 2006-09-25 | 2014-11-07 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2003-11-06 | 2006-09-18 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2003-11-05 |
| Rep | 就證券提供意見 | 2003-04-01 | 2003-11-05 | |
| Rep | 提供資產管理 | 2003-04-01 | 2003-11-05 | |
| Rep | 證券交易 | 2003-04-01 | 2006-09-18 |