| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | RO | 就机构融资提供意见 | 2003-04-01 | - |
| RO | 就证券提供意见 | 2003-04-01 | - | |
| RO | 证券交易 | 2003-04-01 | - | |
| UOB KAY HIAN ASIA LIMITED | RO | 就机构融资提供意见 | 2003-04-01 | 2005-01-12 |
| RO | 提供资产管理 | 2003-04-01 | 2005-01-12 | |
| RO | 就证券提供意见 | 2003-04-01 | 2005-10-18 | |
| RO | 证券交易 | 2003-04-01 | 2005-10-18 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | RO | 期货合约交易 | 2003-04-01 | - |