| 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 | 2017-04-29 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-08-03 | 2016-10-10 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就機構融資提供意見 | 2010-10-25 | 2011-07-18 |
| Rep | 證券交易 | 2010-10-25 | 2017-04-29 | |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | RO | 就證券提供意見 | 2010-02-08 | 2010-09-01 |
| RO | 證券交易 | 2010-02-08 | 2010-09-01 | |
| Rep | 證券交易 | 2005-02-03 | 2010-02-08 | |
| Rep | 就證券提供意見 | 2004-05-31 | 2005-02-03 |