| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2016-02-03 | 2019-08-19 |
| Rep | 就證券提供意見 | 2015-12-17 | 2019-08-19 | |
| Rep | 證券交易 | 2015-12-17 | 2019-08-19 | |
| CES Commodities (HK) Limited | Rep | 期貨合約交易 | 2006-03-02 | 2010-12-11 |
| Everbright Securities Investment Services (HK) Limited | Rep | 證券交易 | 2006-03-02 | 2010-12-11 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2006-01-18 | 2006-02-08 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-04-21 | 2006-02-08 |