| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| SynerWealth Financial Limited | Rep | 证券交易 | 2010-01-04 | 2012-02-20 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | 证券交易 | 2009-03-23 | 2009-11-26 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | 期货合约交易 | 2009-03-23 | 2009-11-26 |
| Quam Securities Limited | Rep | 就证券提供意见 | 2009-01-14 | 2009-03-09 |