| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| FWD Financial Planning Limited (HK) | Rep | 就證券提供意見 | 2020-03-17 | 2021-12-16 |
| Rep | 證券交易 | 2020-02-18 | 2021-12-16 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2006-08-24 | 2019-08-12 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2006-08-24 | 2019-08-12 |