| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | RO | 證券交易 | 2014-08-15 | 2016-07-13 |
| DEUTSCHE SECURITIES ASIA LIMITED | RO | 就證券提供意見 | 2012-02-13 | 2014-05-16 |
| RO | 提供自動化交易服務 | 2012-02-13 | 2014-05-16 | |
| RO | 證券交易 | 2012-02-13 | 2014-05-16 | |
| Rep | 提供自動化交易服務 | 2010-06-24 | 2012-02-13 | |
| Rep | 證券交易 | 2009-06-03 | 2012-02-13 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2007-06-28 | 2009-04-24 |
| Rep | 證券交易 | 2007-06-28 | 2009-04-24 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2007-06-28 | 2009-04-24 |