| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | 證券交易 | 2016-04-18 | - |
| STOCKWELL SECURITIES LIMITED | Rep | 證券交易 | 2013-06-04 | 2016-04-14 |
| CVP Securities Limited | Rep | 期貨合約交易 | 2010-05-03 | 2011-04-27 |
| Rep | 證券交易 | 2010-05-03 | 2013-06-03 | |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | 期貨合約交易 | 2007-10-30 | 2010-04-28 |
| Rep | 證券交易 | 2007-10-30 | 2010-04-28 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2007-06-27 | 2007-10-19 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2006-10-12 | 2007-10-19 |