| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供資產管理 | 2017-10-17 | - |
| Rep | 證券交易 | 2017-10-17 | - | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 期貨合約交易 | 2017-10-17 | - |
| CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | 證券交易 | 2017-01-06 | 2017-09-18 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-10-12 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-10-12 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-10-12 | |
| Rep | 證券交易 | 2003-04-01 | 2016-06-29 | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-10-12 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-10-12 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-10-12 | |
| Rep | 證券交易 | 2003-04-01 | 2016-06-29 |