| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | RO | 證券交易 | 2010-05-20 | 2011-02-16 |
| UBS SECURITIES HONG KONG LIMITED | RO | 證券交易 | 2005-12-29 | 2011-02-16 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2005-10-25 | 2011-02-16 |
| Rep | 就機構融資提供意見 | - | 2005-02-04 | |
| Rep | 提供資產管理 | - | 2005-02-04 | |
| Rep | 就證券提供意見 | - | 2005-03-24 | |
| Rep | 證券交易 | - | 2010-05-20 |