| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 證券交易 | 2005-05-19 | 2006-04-26 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2005-04-21 | 2005-05-19 |
| SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2005-04-21 | 2006-04-26 |
| TIAN YUAN FINANCE LIMITED | Rep | 就機構融資提供意見 | 2004-03-12 | 2004-05-03 |
| SOUTH CHINA CAPITAL LIMITED | Rep | 就機構融資提供意見 | 2003-11-03 | 2003-11-15 |