| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UBS SECURITIES HONG KONG LIMITED | Rep | 证券交易 | 2014-06-11 | 2016-04-16 |
| UBS SECURITIES ASIA LIMITED | Rep | 证券交易 | 2010-06-14 | 2016-04-16 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期货合约交易 | 2008-10-10 | 2010-05-18 |
| Rep | 证券交易 | 2008-10-10 | 2010-05-18 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期货合约交易 | 2007-03-09 | 2008-09-29 |
| Rep | 证券交易 | 2007-03-09 | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 证券交易 | 2007-03-09 | 2008-09-29 |