| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | 就证券提供意见 | 2007-07-10 | 2009-04-27 |
| RO | 证券交易 | 2007-07-10 | 2009-04-27 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | 就证券提供意见 | 2007-07-10 | 2009-04-27 |
| RO | 证券交易 | 2007-07-10 | 2009-04-27 | |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就证券提供意见 | 2006-04-19 | 2007-07-10 |
| Rep | 证券交易 | 2006-04-19 | 2007-07-10 | |
| UBS SECURITIES ASIA LIMITED | Rep | 证券交易 | 2005-05-20 | 2005-10-27 |
| RO | 证券交易 | - | 2005-05-20 | |
| UBS SECURITIES HONG KONG LIMITED | RO | 证券交易 | - | 2005-10-27 |