| 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 | 2017-05-20 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 證券交易 | 2013-07-11 | 2017-05-20 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2013-07-11 | 2016-10-10 |
| UBS SECURITIES ASIA LIMITED | Rep | 期貨合約交易 | 2010-05-05 | 2013-03-23 |
| Rep | 證券交易 | 2010-05-05 | 2013-03-23 | |
| Rep | 期貨合約交易 | 2008-06-05 | 2010-04-09 | |
| Rep | 提供資產管理 | - | 2005-02-04 | |
| Rep | 就機構融資提供意見 | - | 2005-03-24 | |
| Rep | 就證券提供意見 | - | 2005-03-24 | |
| Rep | 證券交易 | - | 2010-04-09 |