| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| DL SECURITIES (HK) LIMITED | Rep | 就證券提供意見 | 2021-09-21 | 2022-08-10 |
| Rep | 證券交易 | 2021-09-21 | 2022-08-10 | |
| Quam Securities Limited | Rep | 提供資產管理 | 2012-10-11 | 2021-08-31 |
| Rep | 就證券提供意見 | 2011-11-28 | 2021-08-31 | |
| Rep | 期貨合約交易 | 2011-11-28 | 2021-08-31 | |
| Rep | 證券交易 | 2011-11-28 | 2021-08-31 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 就期貨合約提供意見 | 2010-11-03 | 2011-11-19 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2010-11-03 | 2011-11-19 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2010-08-16 | 2011-11-19 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2010-08-16 | 2011-11-19 |