| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| SINOPAC SECURITIES (ASIA) LIMITED | RO | 就期貨合約提供意見 | 2022-06-06 | - |
| RO | 就證券提供意見 | 2022-06-06 | - | |
| RO | 提供資產管理 | 2022-06-06 | - | |
| RO | 期貨合約交易 | 2022-06-06 | - | |
| RO | 證券交易 | 2022-06-06 | - | |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2017-10-03 | 2022-05-31 |
| RO | 證券交易 | 2017-10-03 | 2022-05-31 | |
| KGI Asset Management Limited | RO | 提供資產管理 | 2015-03-17 | 2022-05-31 |
| AISANCE ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2009-08-10 | 2014-12-31 |
| RO | 期貨合約交易 | 2008-08-05 | 2013-02-22 | |
| Rep | 提供資產管理 | 2006-03-24 | 2009-08-10 | |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2005-08-18 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 就期貨合約提供意見 | 2005-08-18 | 2022-05-31 |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 就證券提供意見 | 2005-08-18 | 2017-10-02 |
| KGI ASIA LIMITED | RO | 證券交易 | 2004-10-11 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 期貨合約交易 | 2004-10-11 | 2022-05-31 |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | 2004-10-11 | 2017-10-02 |
| KGI ASIA LIMITED | Rep | 證券交易 | 2004-06-21 | 2004-10-11 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-06-21 | 2004-10-11 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2004-06-21 | 2004-10-11 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | RO | 證券交易 | 2004-04-19 | 2004-05-25 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | RO | 期貨合約交易 | 2004-04-19 | 2004-05-25 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | RO | 就機構融資提供意見 | 2003-04-01 | 2004-03-30 |
| RO | 就證券提供意見 | 2003-04-01 | 2004-03-30 | |
| RO | 提供資產管理 | 2003-04-01 | 2004-03-30 | |
| RO | 提供自動化交易服務 | 2003-04-01 | 2004-03-30 | |
| RO | 證券交易 | 2003-04-01 | 2004-05-25 |
金管局記錄暫時無法載入，請稍後重試。