| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 期貨合約交易 | 2016-10-11 | 2017-06-21 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供資產管理 | 2015-07-27 | 2017-06-21 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2015-07-27 | 2016-10-10 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2015-06-03 | 2017-06-21 |
| Yunfeng Financial Markets Limited | Rep | 就機構融資提供意見 | 2014-06-13 | 2014-12-30 |
| Rep | 證券交易 | 2013-08-20 | 2014-12-30 |