| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2019-07-10 | 2022-03-31 |
| Rep | 證券交易 | 2019-07-10 | 2022-03-31 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 期貨合約交易 | 2016-12-19 | 2017-09-09 |
| Rep | 證券交易 | 2016-12-19 | 2017-09-09 | |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期貨合約交易 | 2016-07-07 | 2016-12-18 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2016-07-07 | 2017-09-09 |
| UBS SECURITIES HONG KONG LIMITED | Rep | 證券交易 | 2016-07-07 | 2016-12-18 |
| UBS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2011-07-13 | 2017-09-09 |