| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | 證券交易 | 2006-04-03 | 2019-03-01 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2004-04-30 | 2006-01-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 提供自動化交易服務 | 2003-07-04 | 2006-01-01 |
| Rep | 證券交易 | 2003-07-04 | 2006-01-01 |