| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 證券交易 | 2013-02-25 | 2014-02-15 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2012-01-20 | 2014-02-15 |
| Rep | 期貨合約交易 | 2007-08-21 | 2012-01-20 | |
| GOLDMAN SACHS (ASIA) L.L.C. | RO | 證券交易 | 2007-02-08 | 2014-02-15 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2004-06-29 | 2005-06-23 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就機構融資提供意見 | - | 2004-04-17 |
| Rep | 就證券提供意見 | - | 2004-04-17 | |
| Rep | 提供資產管理 | - | 2004-04-17 | |
| Rep | 證券交易 | - | 2007-02-08 |