| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2017-02-16 | - |
| RO | 證券交易 | 2011-08-31 | - | |
| Rep | 證券交易 | 2009-06-23 | 2011-08-31 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2008-03-04 | 2009-04-04 |
| UBS SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2005-02-04 |
| Rep | 提供資產管理 | 2003-04-01 | 2005-02-04 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2005-03-24 | |
| Rep | 證券交易 | 2003-04-01 | 2007-12-08 |