| 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 | 2006-03-10 | 2006-08-15 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | 證券交易 | 2006-03-10 | 2006-08-15 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2006-01-24 | 2006-02-07 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2005-08-12 | 2006-02-07 |