| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2022-03-08 | 2024-08-02 |
| Rep | 證券交易 | 2022-03-08 | 2024-08-02 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2022-03-08 | 2024-08-02 |
| Rep | 期貨合約交易 | 2022-03-08 | 2024-08-02 | |
| Rep | 證券交易 | 2022-03-08 | 2024-08-02 | |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 就證券提供意見 | 2015-03-24 | 2022-02-04 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2011-11-10 | 2022-02-04 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-11-10 | 2022-02-04 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2011-11-10 | 2022-02-04 |