| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2019-07-03 | - |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 期貨合約交易 | 2019-07-03 | - |
| UBS SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | 2018-10-16 | 2019-03-30 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2012-08-03 | 2018-09-19 |
| Rep | 證券交易 | 2012-08-03 | 2018-09-19 |