| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就證券提供意見 | 2006-03-20 | 2007-01-08 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2005-06-29 | 2007-01-08 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期貨合約提供意見 | - | 2003-08-06 |
| Rep | 提供資產管理 | - | 2003-08-06 | |
| Rep | 期貨合約交易 | - | 2007-01-08 |