| 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 | 2008-06-05 | 2017-07-15 |
| Rep | 證券交易 | 2004-08-30 | 2017-07-15 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2003-11-07 |
| Rep | 提供資產管理 | - | 2003-11-07 | |
| Rep | 就證券提供意見 | - | 2004-07-30 | |
| Rep | 證券交易 | - | 2004-07-30 |