| 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 | 2010-11-03 | 2011-12-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2010-05-04 | 2011-12-01 |
| T G HOLBORN (HK) LIMITED | Rep | 就證券提供意見 | 2008-08-04 | 2010-04-13 |
| ANGUS MOORE LIMITED | Rep | 就證券提供意見 | 2007-10-09 | 2008-07-07 |