| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | 期貨合約交易 | 2013-05-23 | 2014-05-29 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | 證券交易 | 2013-05-23 | 2014-05-29 |
| EAST ASIA SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2007-03-02 | 2011-01-03 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2005-09-20 | 2007-02-23 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-05-03 | 2007-02-23 |