| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| UBS SECURITIES ASIA LIMITED | RO | 證券交易 | 2010-10-18 | 2011-06-20 |
| Rep | 證券交易 | 2010-07-02 | 2010-10-18 | |
| Rep | 期貨合約交易 | 2010-07-02 | 2011-06-20 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2008-12-10 | 2010-02-27 |
| GOLDMAN SACHS (ASIA) L.L.C. | RO | 證券交易 | 2008-07-11 | 2010-02-27 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2008-07-11 | 2008-12-10 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2006-09-22 | 2008-07-11 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2006-09-22 | 2008-07-11 |