| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Venture Smart Asia Limited | Rep | 提供資產管理 | 2019-01-28 | 2022-08-31 |
| Rep | 就證券提供意見 | 2018-05-15 | 2022-08-31 | |
| Rep | 證券交易 | 2018-05-15 | 2022-08-31 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2015-03-24 | 2015-06-11 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2011-07-28 | 2015-06-11 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-07-28 | 2015-06-11 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2011-07-28 | 2015-06-11 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-09-28 | 2010-07-03 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-09-28 | 2010-07-03 |