| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2007-09-20 | 2008-11-01 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期货合约交易 | 2007-01-15 | 2008-11-01 |
| Rep | 期货合约交易 | 2003-10-31 | 2006-09-01 | |
| CES Commodities (HK) Limited | Rep | 就期货合约提供意见 | - | 2003-10-30 |
| Rep | 提供资产管理 | - | 2003-10-30 | |
| Rep | 期货合约交易 | - | 2003-10-30 | |
| CES Forex (HK) Limited | Rep | 杠杆式外汇交易 | - | 2003-10-30 |