| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| AXA Investment Managers Asia Limited | RO | 杠杆式外汇交易 | 2021-10-19 | 2022-07-06 |
| BNP PARIBAS ASSET MANAGEMENT CHORUS | RO | 就期货合约提供意见 | 2017-03-02 | 2023-06-06 |
| RO | 就证券提供意见 | 2017-03-02 | 2023-06-06 | |
| RO | 提供资产管理 | 2017-03-02 | 2023-06-06 | |
| RO | 证券交易 | 2017-03-02 | 2023-06-06 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2009-07-17 | 2015-05-01 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2009-07-17 | 2015-05-01 |