| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | RO | 证券交易 | 2015-07-22 | 2025-04-27 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | RO | 期货合约交易 | 2013-02-06 | 2025-04-27 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2007-09-19 | 2015-07-22 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 就期货合约提供意见 | - | 2004-02-18 |
| Rep | 提供资产管理 | - | 2004-02-18 | |
| Rep | 期货合约交易 | - | 2013-02-06 |