| 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 | 2020-07-03 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就證券提供意見 | 2016-08-04 | 2020-07-03 |
| Rep | 證券交易 | 2010-02-03 | 2020-07-03 | |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2010-02-03 | 2016-10-10 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 就證券提供意見 | 2004-04-21 | 2007-01-31 |
| Rep | 證券交易 | 2004-04-21 | 2007-01-31 | |
| Standard Chartered Securities (Hong Kong) Limited | Rep | 就機構融資提供意見 | - | 2003-11-19 |
| Rep | 提供資產管理 | - | 2003-11-19 | |
| Rep | 就證券提供意見 | - | 2004-03-01 | |
| Rep | 證券交易 | - | 2004-03-01 |