| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SynerWealth Financial Limited | Rep | 證券交易 | 2010-01-04 | 2012-02-20 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2009-03-23 | 2009-11-26 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2009-03-23 | 2009-11-26 |
| Quam Securities Limited | Rep | 就證券提供意見 | 2009-01-14 | 2009-03-09 |