| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | 期貨合約交易 | 2024-05-16 | - |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 就證券提供意見 | 2024-05-16 | - |
| Rep | 證券交易 | 2024-05-16 | - | |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2021-07-19 | 2023-04-13 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 期貨合約交易 | 2021-07-19 | 2023-04-13 |
| Rep | 提供自動化交易服務 | 2021-07-06 | 2023-04-13 | |
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2021-06-08 | 2023-04-13 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2021-06-08 | 2023-04-13 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | 證券交易 | 2020-01-29 | 2021-04-22 |
| CGS International Securities Hong Kong Limited | Rep | 證券交易 | 2017-05-11 | 2020-01-08 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-09-15 | 2017-01-25 |
| BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2010-09-20 | 2011-12-30 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | 提供自動化交易服務 | 2010-09-20 | 2015-11-30 |
| Rep | 證券交易 | 2010-09-20 | 2017-01-25 |
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