| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited | Rep | 就證券提供意見 | 2013-04-18 | 2014-01-20 |
| GF FUTURES (HONG KONG) CO., LIMITED | Rep | 期貨合約交易 | 2013-01-30 | 2014-01-20 |
| GF Securities (Hong Kong) Brokerage Limited | Rep | 證券交易 | 2013-01-30 | 2014-01-20 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2012-06-22 | 2013-01-12 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2012-05-29 | 2013-01-12 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2011-08-02 | 2013-01-12 |