| 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 | 2012-04-27 | 2013-03-26 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2011-06-28 | 2013-03-26 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2011-06-28 | 2013-03-26 |
| DBS VICKERS (HONG KONG) LIMITED | Rep | 證券交易 | 2010-03-23 | 2011-05-13 |