| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Syfe Hong Kong Limited | RO | 提供資產管理 | 2023-07-21 | 2026-06-05 |
| RO | 就證券提供意見 | 2022-08-01 | 2026-06-05 | |
| RO | 證券交易 | 2022-08-01 | 2026-06-05 | |
| Rep | 就證券提供意見 | 2022-07-06 | 2022-08-01 | |
| Rep | 證券交易 | 2022-07-06 | 2022-08-01 | |
| Rep | 提供資產管理 | 2022-07-06 | 2023-07-21 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 期貨合約交易 | 2016-12-19 | 2022-06-17 |
| Rep | 證券交易 | 2016-12-19 | 2022-06-17 | |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期貨合約交易 | 2013-08-30 | 2016-12-18 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2013-08-30 | 2022-06-17 |
| Rep | 證券交易 | 2013-08-30 | 2022-06-17 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2013-08-30 | 2016-12-18 |