| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Sigma Capital Management Limited | RO | 就證券提供意見 | 2018-10-15 | 2021-10-23 |
| RO | 證券交易 | 2012-06-27 | 2021-10-23 | |
| RO | 提供資產管理 | 2011-03-11 | 2021-10-23 | |
| UBS SECURITIES ASIA LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-23 |
| Rep | 就期貨合約提供意見 | - | 2004-02-23 | |
| Rep | 就證券提供意見 | - | 2004-02-23 | |
| Rep | 提供資產管理 | - | 2004-02-23 | |
| Rep | 期貨合約交易 | - | 2004-02-23 | |
| Rep | 證券交易 | - | 2004-02-23 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 就機構融資提供意見 | - | 2004-02-23 |
| Rep | 就證券提供意見 | - | 2004-02-23 | |
| Rep | 提供資產管理 | - | 2004-02-23 | |
| Rep | 證券交易 | - | 2004-02-23 |