| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | 就證券提供意見 | 2016-02-24 | 2017-09-19 |
| YUE XIU SECURITIES COMPANY LIMITED | Rep | 就期貨合約提供意見 | 2014-09-23 | 2015-11-20 |
| Rep | 就證券提供意見 | 2014-09-23 | 2015-11-20 | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2012-02-07 | 2014-08-18 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2011-12-12 | 2014-08-18 |