| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2009-05-15 | 2019-09-23 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2009-05-15 | 2019-09-23 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-12-19 | 2009-05-01 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-05-15 | 2009-05-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-02-25 | 2009-05-01 |