| 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 | 2019-06-04 | |
| Rep | 就證券提供意見 | 2015-09-21 | 2017-10-02 | |
| Rep | 證券交易 | 2015-09-21 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2015-09-21 | - |
| Rep | 就期貨合約提供意見 | 2015-09-21 | 2019-06-04 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 就期貨合約提供意見 | 2010-09-28 | 2015-09-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2010-02-05 | 2015-09-13 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2008-05-28 | 2015-09-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-05-28 | 2015-09-13 |