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KGI ASIA LIMITED 凱基證券亞洲有限公司

SFC Licensed
SFC ID:BKJ214
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SFC licences & institution history

2017.10.03Institutions amalgamated

After amalgamation

Currently licensed
SFC ID:BKJ214

KGI Asia Limited

4 former names

  1. Covertland Limited

    Earlier period—1996.10.29

    SFC name change: 1996.10.29

    No SFO licence period listed under this name

  2. Koos Group Investments Asia Limited

    1996.10.29—1996.11.21

    SFC name change: 1996.11.21

    No SFO licence period listed under this name

  3. KG Investments Asia Limited

    1996.11.21—1997.03.07

    SFC name change: 1997.03.07

    No SFO licence period listed under this name

  4. KG Investments Asia Limited

    1997.03.07—1999.04.30

    SFC name change: 1999.04.30

    No SFO licence period listed under this name

  5. KGI Asia Limited

    1999.04.30—Registered name

    Licences in this name periodTYPE 1TYPE 4
Licences of KGI Asia Limited (BKJ214)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2017.10.03—Present
TYPE 4Advising on securities
  • 2017.10.03—Present

Before amalgamation

Historical institution
SFC ID:ADU347

KGI Asia Limited

3 former names

  1. Covertland Limited

    Earlier period—1996.10.29

    SFC name change: 1996.10.29

    No SFO licence period listed under this name

  2. Koos Group Investments Asia Limited

    1996.10.29—1996.11.21

    SFC name change: 1996.11.21

    No SFO licence period listed under this name

  3. KG Investments Asia Limited

    1996.11.21—1999.04.30

    SFC name change: 1999.04.30

    No SFO licence period listed under this name

  4. KGI Asia Limited

    1999.04.30—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 7TYPE 9
Licences of KGI Asia Limited (ADU347)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2017.10.02
TYPE 4Advising on securities
  • 2003.04.01—2017.10.02
TYPE 6Advising on corporate finance
  • 2003.04.01—2005.01.06
TYPE 7Providing automated trading services
  • 2003.04.01—2003.07.21
TYPE 9Asset management
  • 2003.04.01—2005.01.06
Historical institution
SFC ID:AFE145

Grand Cathay Securities (Hong Kong) Limited

Licences of Grand Cathay Securities (Hong Kong) Limited (AFE145)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2017.10.02
TYPE 4Advising on securities
  • 2003.04.01—2005.02.07
TYPE 6Advising on corporate finance
  • 2003.04.01—2005.02.07
  • 2007.04.18—2015.10.29
TYPE 9Asset management
  • 2003.04.01—2005.02.07
  • 2007.04.18—2015.10.29
Historical institution
SFC ID:ADT493

KGI Securities (Hong Kong) Limited

3 former names

  1. Koos Group Investments Securities (Hong Kong) Limited

    Earlier period—1996.10.29

    SFC name change: 1996.10.29

    No SFO licence period listed under this name

  2. Harmony Fortune Limited

    1996.10.29—1996.11.21

    SFC name change: 1996.11.21

    No SFO licence period listed under this name

  3. KG Investments Securities (Hong Kong) Limited

    1996.11.21—1999.04.30

    SFC name change: 1999.04.30

    No SFO licence period listed under this name

  4. KGI Securities (Hong Kong) Limited

    1999.04.30—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 7TYPE 9
Licences of KGI Securities (Hong Kong) Limited (ADT493)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2017.10.02
TYPE 4Advising on securities
  • 2003.04.01—2017.10.02
TYPE 6Advising on corporate finance
  • 2003.04.01—2004.10.25
TYPE 7Providing automated trading services
  • 2003.04.01—2003.07.21
TYPE 9Asset management
  • 2003.04.01—2004.10.25
Historical institution
SFC ID:ABM802

KGI Wealth Management Limited

2 former names

  1. Taiwan Securities (Hong Kong) Company Limited

    Earlier period—2008.11.24

    SFC name change: 2008.11.24

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9

  2. Taishin Securities (Hong Kong) Company Limited

    2008.11.24—2009.12.28

    SFC name change: 2009.12.28

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9

  3. KGI Wealth Management Limited

    2009.12.28—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9
Licences of KGI Wealth Management Limited (ABM802)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2017.10.02
TYPE 4Advising on securities
  • 2003.04.01—2017.10.02
TYPE 6Advising on corporate finance
  • 2003.04.01—2010.04.30
TYPE 9Asset management
  • 2003.04.01—2004.12.28
  • 2008.04.17—2010.04.30