| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2012-09-03 | 2014-12-31 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 证券交易 | 2004-11-02 | 2005-06-17 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期货合约交易 | 2004-11-02 | 2005-06-17 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 证券交易 | 2004-11-02 | 2005-06-17 |
| C F C SECURITIES LIMITED | Rep | 证券交易 | 2003-11-20 | 2004-03-02 |
| DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | 就期货合约提供意见 | - | 2003-06-30 |
| Rep | 提供资产管理 | - | 2003-06-30 | |
| Rep | 期货合约交易 | - | 2003-06-30 |