| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | RO | 期貨合約交易 | 2014-09-29 | 2020-11-20 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 證券交易 | 2013-05-21 | 2020-11-20 |
| Rep | 證券交易 | 2007-09-19 | 2013-05-21 | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期貨合約提供意見 | - | 2004-02-20 |
| Rep | 提供資產管理 | - | 2004-02-20 | |
| Rep | 期貨合約交易 | - | 2014-09-29 |