| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供自動化交易服務 | 2009-02-20 | 2011-07-29 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-08-28 | 2011-07-29 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2008-04-30 | 2011-07-29 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2004-09-13 | 2008-02-26 |
| Rep | 證券交易 | 2004-09-13 | 2008-02-26 |