| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | - |
| Rep | 就證券提供意見 | 2017-10-03 | 2019-06-05 | |
| Rep | 就證券提供意見 | 2015-09-22 | 2017-10-02 | |
| Rep | 證券交易 | 2015-09-22 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2015-09-22 | - |
| Rep | 就期貨合約提供意見 | 2015-09-22 | 2019-06-05 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2009-05-08 | 2015-09-13 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 就期貨合約提供意見 | 2005-03-14 | 2015-09-13 |
| Rep | 期貨合約交易 | 2004-08-26 | 2015-09-13 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-06-03 | 2015-09-13 |