| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就證券提供意見 | 2008-04-29 | 2008-11-07 |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 證券交易 | 2005-10-13 | 2008-11-07 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2005-07-08 | 2008-11-07 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2005-07-08 | 2008-11-07 |
| SG SECURITIES (HK) LIMITED | RO | 證券交易 | 2003-11-27 | 2005-06-30 |
| Rep | 就證券提供意見 | - | 2003-09-09 | |
| Rep | 提供資產管理 | - | 2003-09-09 | |
| Rep | 提供自動化交易服務 | - | 2003-09-09 | |
| Rep | 證券交易 | - | 2003-11-27 | |
| Rep | 就機構融資提供意見 | - | 2004-11-19 |