| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2012-06-25 | - |
| UOB FINANCE (H.K.) LIMITED | Rep | 就證券提供意見 | 2005-01-14 | 2006-01-13 |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-02 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-02 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-03-02 | |
| Rep | 證券交易 | 2003-04-01 | 2006-01-13 | |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | 證券交易 | 2003-04-01 | - |
| Rep | 就機構融資提供意見 | 2003-04-01 | 2004-03-02 | |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-03-02 |