| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EMPEROR FUTURES LIMITED | Rep | 期貨合約交易 | 2009-06-19 | 2010-10-19 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2009-03-06 | 2010-10-19 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2007-09-24 | 2007-11-08 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2007-09-24 | 2007-11-08 |