| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| PHILLIP COMMODITIES (HK) LIMITED | Rep | 就期货合约提供意见 | 2009-05-04 | - |
| Rep | 期货合约交易 | 2009-03-23 | - | |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2009-03-23 | - |
| Rep | 证券交易 | 2009-03-23 | - | |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | 就证券提供意见 | 2007-03-09 | 2008-10-21 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2003-12-30 | 2008-10-21 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期货合约提供意见 | 2003-04-01 | 2003-12-23 |
| Rep | 提供资产管理 | 2003-04-01 | 2003-12-23 | |
| Rep | 期货合约交易 | 2003-04-01 | 2008-10-21 |