| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就證券提供意見 | 2015-08-05 | 2018-11-11 |
| Rep | 證券交易 | 2015-08-05 | 2018-11-11 | |
| SDIC SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2014-03-28 | 2015-01-11 |
| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2014-03-28 | 2015-01-11 |