| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | 杠杆式外汇交易 | 2004-08-27 | 2010-03-17 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | 期货合约交易 | 2004-07-10 | 2010-05-03 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | 证券交易 | 2004-07-10 | 2005-07-29 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2004-05-18 | 2004-07-06 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期货合约提供意见 | - | 2004-02-27 |
| Rep | 提供资产管理 | - | 2004-02-27 | |
| Rep | 期货合约交易 | - | 2004-07-06 |