| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited | Rep | 期貨合約交易 | 2014-10-20 | 2019-03-22 |
| Rep | 證券交易 | 2014-10-20 | 2019-03-22 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2011-11-25 | 2014-05-13 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2008-05-09 | 2014-05-13 |
| Rep | 證券交易 | 2008-05-09 | 2014-05-13 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2008-05-09 | 2014-05-13 |