| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2005-05-26 | - |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-05-26 | - |
| SPLENDOR GLOBAL INVESTMENTS LIMITED | Rep | 就證券提供意見 | 2005-02-17 | 2005-05-18 |
| AIA WEALTH MANAGEMENT COMPANY LIMITED | Rep | 就證券提供意見 | 2004-11-08 | 2005-01-12 |
| THORNTON GLOBAL WEALTH MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2004-03-24 | 2004-07-30 |
| SPLENDOR GLOBAL INVESTMENTS LIMITED | Rep | 就證券提供意見 | 2003-07-21 | 2004-03-22 |