| 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 | 2008-04-15 | 2012-10-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-03-26 | 2012-10-01 |
| Asia Pacific Securities Limited | Rep | 證券交易 | 2006-09-01 | 2007-03-17 |
| GT CAPITAL LIMITED | Rep | 證券交易 | 2005-12-29 | 2006-08-31 |
| Rep | 就證券提供意見 | 2005-10-28 | 2006-08-31 | |
| Rep | 提供資產管理 | 2005-10-28 | 2006-08-31 | |
| PEGASUS FUND MANAGERS LIMITED | Rep | 就證券提供意見 | - | 2005-10-07 |
| Rep | 提供資產管理 | - | 2005-10-07 |