| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2022-01-26 |
| Rep | 證券交易 | 2017-05-22 | 2017-10-02 | |
| RHB SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2014-07-29 | 2016-09-09 |
| STOCKWELL SECURITIES LIMITED | Rep | 證券交易 | 2013-03-01 | 2014-07-18 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 提供自動化交易服務 | 2011-12-05 | 2012-10-25 |
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2008-06-18 | 2012-10-25 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | - | 2005-03-24 |
| Rep | 就證券提供意見 | - | 2005-03-24 | |
| Rep | 提供資產管理 | - | 2005-03-24 | |
| Rep | 證券交易 | - | 2012-10-25 |