| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Panview Capital Limited | RO | 提供資產管理 | 2019-10-18 | - |
| BTIG Hong Kong Limited | RO | 證券交易 | 2010-08-09 | 2019-05-01 |
| GOLDMAN SACHS (ASIA) L.L.C. | RO | 提供自動化交易服務 | 2009-06-15 | 2010-01-18 |
| RO | 證券交易 | 2009-06-15 | 2010-03-09 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | 就期貨合約提供意見 | 2009-06-15 | 2010-03-09 |
| RO | 期貨合約交易 | 2009-06-15 | 2010-03-09 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2009-03-25 | 2009-06-15 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 就期貨合約提供意見 | 2009-03-25 | 2009-06-15 |
| Rep | 期貨合約交易 | 2009-03-25 | 2009-06-15 |