| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Lego Securities Limited | Rep | 證券交易 | 2018-10-24 | 2023-01-16 |
| Quam Securities Limited | Rep | 期貨合約交易 | 2010-10-22 | 2012-03-16 |
| Rep | 證券交易 | 2010-10-22 | 2012-03-16 | |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2010-08-23 | 2010-10-21 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2009-03-09 | 2010-06-01 |
| Rep | 證券交易 | 2009-03-09 | 2010-10-21 | |
| T G HOLBORN (HK) LIMITED | Rep | 就證券提供意見 | 2004-08-04 | 2008-09-09 |