| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| AXA Investment Managers Asia Limited | RO | 槓桿式外匯交易 | 2021-10-19 | 2022-07-06 |
| BNP PARIBAS ASSET MANAGEMENT CHORUS | RO | 就期貨合約提供意見 | 2017-03-02 | 2023-06-06 |
| RO | 就證券提供意見 | 2017-03-02 | 2023-06-06 | |
| RO | 提供資產管理 | 2017-03-02 | 2023-06-06 | |
| RO | 證券交易 | 2017-03-02 | 2023-06-06 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2009-07-17 | 2015-05-01 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2009-07-17 | 2015-05-01 |