| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Open Securities Limited | Rep | 期货合约交易 | 2013-04-30 | 2016-11-01 |
| Rep | 证券交易 | 2013-04-30 | 2016-11-01 | |
| Success Futures and Foreign Exchange Limited | Rep | 期货合约交易 | 2012-07-04 | 2013-04-03 |
| Success Securities Limited | Rep | 证券交易 | 2012-07-04 | 2013-04-03 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期货合约提供意见 | - | 2004-02-27 |
| Rep | 提供资产管理 | - | 2004-02-27 | |
| Rep | 期货合约交易 | - | 2004-04-22 |