| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| BNP PARIBAS ASSET MANAGEMENT CHORUS | RO | 就期貨合約提供意見 | 2017-03-02 | 2023-07-14 |
| RO | 就證券提供意見 | 2017-03-02 | 2023-07-14 | |
| RO | 提供資產管理 | 2017-03-02 | 2023-07-14 | |
| RO | 證券交易 | 2017-03-02 | 2023-07-14 | |
| GOLDMAN SACHS (ASIA) L.L.C. | RO | 證券交易 | 2013-07-10 | 2016-01-05 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | 期貨合約交易 | 2013-07-10 | 2016-01-05 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2010-11-15 | 2013-07-10 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2010-11-15 | 2013-07-10 |