| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2015-01-29 | 2019-03-29 |
| Nerico Brothers Limited (HK) | Rep | 證券交易 | 2014-10-29 | 2014-12-18 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2010-12-31 | 2011-03-18 |
| Rep | 證券交易 | 2010-12-31 | 2011-03-18 | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2010-12-31 | 2011-03-18 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2010-02-23 | 2010-12-10 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 期貨合約交易 | 2009-10-09 | 2010-12-10 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2009-02-05 | 2010-12-10 |