| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Quam Securities Limited | Rep | 期货合约交易 | 2012-03-20 | 2016-03-31 |
| Rep | 证券交易 | 2012-03-20 | 2016-03-31 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 证券交易 | 2005-06-29 | 2012-02-24 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2005-06-29 | 2012-02-24 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期货合约交易 | 2004-05-19 | 2004-12-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 证券交易 | 2004-04-20 | 2004-12-01 |
| Planetree Securities Limited | Rep | 就机构融资提供意见 | - | 2004-01-28 |
| Rep | 就证券提供意见 | - | 2004-01-28 | |
| Rep | 提供资产管理 | - | 2004-01-28 | |
| Rep | 证券交易 | - | 2004-03-26 |