| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期貨合約交易 | 2013-09-13 | 2016-01-16 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2013-09-13 | 2016-01-16 |
| Rep | 證券交易 | 2013-09-13 | 2016-01-16 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2013-09-13 | 2016-01-16 |
| Rep | 證券交易 | 2013-09-13 | 2016-01-16 | |
| Guosen Securities (HK) Brokerage Company, Limited | Rep | 證券交易 | 2012-04-10 | 2013-08-23 |