| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BCT Financial Limited | Rep | 就证券提供意见 | 2015-09-24 | 2015-11-02 |
| Rep | 证券交易 | 2015-09-24 | 2015-11-02 | |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2004-10-28 | 2005-09-09 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期货合约提供意见 | - | 2004-02-26 |
| Rep | 提供资产管理 | - | 2004-02-26 | |
| Rep | 期货合约交易 | - | 2005-09-09 |