| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UBS SECURITIES HONG KONG LIMITED | RO | 证券交易 | 2010-03-04 | 2010-09-06 |
| UBS DERIVATIVES HONG KONG LIMITED | RO | 期货合约交易 | 2009-06-10 | 2010-09-06 |
| Rep | 就期货合约提供意见 | - | 2005-02-07 | |
| Rep | 提供资产管理 | - | 2005-02-07 | |
| Rep | 期货合约交易 | - | 2009-06-10 | |
| UBS SECURITIES ASIA LIMITED | Rep | 就机构融资提供意见 | - | 2005-02-04 |
| Rep | 就期货合约提供意见 | - | 2005-02-04 | |
| Rep | 提供资产管理 | - | 2005-02-04 | |
| Rep | 就证券提供意见 | - | 2005-03-24 | |
| Rep | 期货合约交易 | - | 2010-09-06 | |
| Rep | 证券交易 | - | 2010-09-06 |