| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Morgan Stanley Asia Limited | Rep | 就機構融資提供意見 | 2015-07-27 | 2017-09-23 |
| Rep | 證券交易 | 2015-07-27 | 2017-09-23 | |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期貨合約交易 | 2014-04-07 | 2015-07-08 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2014-04-07 | 2015-07-08 |
| Rep | 證券交易 | 2014-04-07 | 2015-07-08 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2014-04-07 | 2015-07-08 |