| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2012-02-14 | 2015-08-06 |
| Quam Securities Limited | Rep | 證券交易 | 2009-04-27 | 2010-05-01 |
| Rep | 就證券提供意見 | 2009-01-16 | 2010-05-01 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2005-07-18 | 2005-08-11 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-07-18 | 2005-08-11 |