| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2017-02-16 | - |
| RO | 证券交易 | 2011-08-31 | - | |
| Rep | 证券交易 | 2009-06-23 | 2011-08-31 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2008-03-04 | 2009-04-04 |
| UBS SECURITIES ASIA LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2005-02-04 |
| Rep | 提供资产管理 | 2003-04-01 | 2005-02-04 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2005-03-24 | |
| Rep | 证券交易 | 2003-04-01 | 2007-12-08 |