| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | RO | 证券交易 | 2014-08-15 | 2016-07-13 |
| DEUTSCHE SECURITIES ASIA LIMITED | RO | 就证券提供意见 | 2012-02-13 | 2014-05-16 |
| RO | 提供自动化交易服务 | 2012-02-13 | 2014-05-16 | |
| RO | 证券交易 | 2012-02-13 | 2014-05-16 | |
| Rep | 提供自动化交易服务 | 2010-06-24 | 2012-02-13 | |
| Rep | 证券交易 | 2009-06-03 | 2012-02-13 | |
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2007-06-28 | 2009-04-24 |
| Rep | 证券交易 | 2007-06-28 | 2009-04-24 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 证券交易 | 2007-06-28 | 2009-04-24 |