| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Dynasty Alliance Investment Management Limited | Rep | 就证券提供意见 | 2019-08-21 | - |
| Rep | 提供资产管理 | 2019-08-21 | - | |
| Innovest Securities Investment Limited | Rep | 证券交易 | 2019-08-21 | 2022-07-01 |
| CES Commodities (HK) Limited | Rep | 期货合约交易 | 2009-05-21 | 2010-06-18 |
| Everbright Securities Investment Services (HK) Limited | Rep | 证券交易 | 2009-05-21 | 2010-06-18 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2007-12-17 | 2008-12-01 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期货合约交易 | 2007-12-17 | 2008-12-01 |
| Rep | 期货合约交易 | 2003-10-02 | 2006-05-07 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2003-09-23 |
| Rep | 就证券提供意见 | 2003-04-01 | 2003-09-23 | |
| Rep | 提供资产管理 | 2003-04-01 | 2003-09-23 | |
| Rep | 证券交易 | 2003-04-01 | 2006-05-07 |
已采集记录中暂无金管局登记。