| 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 | 2009-08-25 | 2013-11-19 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2009-08-25 | 2013-11-19 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2004-07-08 | 2009-08-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-07-08 | 2009-08-01 |