| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| XinKong International Securities Limited | Rep | 期貨合約交易 | 2013-01-03 | 2013-12-31 |
| Rep | 證券交易 | 2013-01-03 | 2013-12-31 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2012-11-19 | 2012-12-21 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2012-11-19 | 2012-12-21 |