| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Octal Capital Limited | Rep | 就机构融资提供意见 | 2017-06-05 | 2018-12-01 |
| Rep | 证券交易 | 2017-06-05 | 2018-12-01 | |
| CES Commodities (HK) Limited | Rep | 期货合约交易 | 2010-11-17 | 2013-11-09 |
| Everbright Securities Investment Services (HK) Limited | Rep | 证券交易 | 2010-11-17 | 2013-11-09 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2010-07-21 | 2010-07-21 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期货合约交易 | 2010-07-21 | 2010-07-21 |