| 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 | 2007-04-17 | 2012-06-26 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-04-17 | 2012-06-26 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | 期貨合約交易 | 2004-08-19 | 2007-03-24 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | 證券交易 | 2003-11-13 | 2007-03-24 |