| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PC SECURITIES LIMITED | RO | 就證券提供意見 | 2016-07-06 | - |
| RO | 提供資產管理 | 2016-07-06 | - | |
| RO | 證券交易 | 2014-06-11 | - | |
| Hong Kong Securities (International) Company Limited | RO | 證券交易 | 2009-07-23 | 2014-02-28 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2005-04-19 | 2009-07-15 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-04-19 | 2009-07-15 |