| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 期货合约交易 | 2016-10-11 | 2017-05-20 |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 证券交易 | 2013-07-11 | 2017-05-20 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2013-07-11 | 2016-10-10 |
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2010-05-05 | 2013-03-23 |
| Rep | 证券交易 | 2010-05-05 | 2013-03-23 | |
| Rep | 期货合约交易 | 2008-06-05 | 2010-04-09 | |
| Rep | 提供资产管理 | - | 2005-02-04 | |
| Rep | 就机构融资提供意见 | - | 2005-03-24 | |
| Rep | 就证券提供意见 | - | 2005-03-24 | |
| Rep | 证券交易 | - | 2010-04-09 |