| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2020-02-22 |
| Rep | 證券交易 | 2015-01-19 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2015-01-19 | 2019-06-03 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2010-06-17 | 2014-05-29 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2010-06-17 | 2014-05-29 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2010-06-17 | 2014-05-29 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-11-30 | 2010-05-24 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-12-30 | 2010-05-24 |