| 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 | 2019-06-12 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2014-07-14 | 2016-10-10 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2010-07-05 | 2019-06-12 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2009-12-30 | 2010-05-21 |
| Rep | 就機構融資提供意見 | 2008-10-10 | 2010-05-21 | |
| Rep | 證券交易 | 2008-10-10 | 2010-05-21 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 就機構融資提供意見 | 2007-08-30 | 2008-09-29 |
| Rep | 證券交易 | 2007-08-30 | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2007-08-30 | 2008-09-29 |