| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EAST ASIA SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2011-08-24 | 2016-04-04 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2010-09-20 | 2011-08-15 |
| Rep | 證券交易 | 2010-09-20 | 2011-08-15 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-03-11 | 2010-08-14 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-03-11 | 2010-08-14 |
| Rep | 證券交易 | 2008-03-11 | 2010-08-14 |