| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2007-11-07 | 2008-03-26 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2007-11-07 | 2008-03-26 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2006-11-09 | 2007-09-29 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2006-08-24 | 2007-09-29 |