| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GET NICE SECURITIES LIMITED | Rep | 證券交易 | 2018-04-16 | 2019-01-10 |
| WING FUNG FUTURES LIMITED | Rep | 期貨合約交易 | 2015-01-29 | 2015-03-18 |
| WING FUNG SECURITIES LIMITED | Rep | 證券交易 | 2015-01-29 | 2015-03-18 |
| BOCI SECURITIES LIMITED | Rep | 期貨合約交易 | 2008-03-07 | 2012-08-23 |
| Rep | 證券交易 | 2008-02-12 | 2012-08-23 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2007-11-19 | 2008-02-01 |
| Rep | 證券交易 | 2006-10-16 | 2007-04-16 | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2006-10-16 | 2007-04-16 |