| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited | Rep | 證券交易 | 2013-04-25 | 2016-07-01 |
| Public Securities Limited | Rep | 證券交易 | 2011-07-20 | 2013-04-22 |
| KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | 期貨合約交易 | 2010-03-01 | 2011-05-03 |
| Rep | 證券交易 | 2010-03-01 | 2011-05-03 | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2008-03-18 | 2010-02-24 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2007-07-24 | 2010-02-24 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2007-07-24 | 2010-02-24 |
| HONG KONG FOREX INVESTMENT LIMITED | Rep | 槓桿式外匯交易 | 2006-03-18 | 2007-01-22 |