| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Topaz Financial Group Limited | Rep | 就證券提供意見 | 2019-07-16 | 2026-08-11 |
| TOPAZ CAPITAL MANAGEMENT LIMITED | Rep | 提供資產管理 | 2019-04-11 | - |
| Topaz Financial Group Limited | Rep | 期貨合約交易 | 2016-01-20 | - |
| Rep | 證券交易 | 2016-01-20 | - | |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期貨合約交易 | 2010-03-18 | 2015-12-10 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 證券交易 | 2008-05-15 | 2015-12-10 |
已採集記錄中暫無金管局登記。