| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 提供資產管理 | 2014-01-06 | 2014-11-19 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2013-06-07 | 2014-11-19 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2013-06-07 | 2014-11-19 |