| 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 | 2005-03-10 | 2017-05-05 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2005-03-10 | 2017-05-05 |
| Tung Shing Futures (Brokers) Limited | Rep | 期貨合約交易 | 2004-08-27 | 2005-03-09 |
| Tung Shing Securities (Brokers) Limited | Rep | 就機構融資提供意見 | - | 2004-01-09 |
| Rep | 就證券提供意見 | - | 2004-01-09 | |
| Rep | 提供資產管理 | - | 2004-01-09 | |
| Rep | 證券交易 | - | 2005-03-09 |