| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI Asset Management Limited | RO | 提供資產管理 | 2019-10-29 | - |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2017-10-03 | - |
| RO | 證券交易 | 2017-10-03 | - | |
| KGI Asset Management Limited | Rep | 提供資產管理 | 2015-06-25 | 2019-10-29 |
| KGI ASIA LIMITED | RO | 就證券提供意見 | 2013-03-13 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 就期貨合約提供意見 | 2012-01-03 | - |
| KGI WEALTH MANAGEMENT LIMITED | RO | 證券交易 | 2010-03-08 | 2017-10-02 |
| KGI ASIA LIMITED | RO | 證券交易 | 2008-02-05 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 期貨合約交易 | 2008-02-05 | - |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 證券交易 | 2008-02-05 | 2017-10-02 |
| Rep | 證券交易 | 2007-10-22 | 2008-02-05 | |
| KGI ASIA LIMITED | Rep | 證券交易 | 2004-11-25 | 2008-02-05 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2004-11-25 | 2008-02-05 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-24 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-24 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-24 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-06-24 | |
| Rep | 證券交易 | 2003-04-01 | 2004-11-20 | |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-06-24 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-24 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2004-11-20 | |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-24 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-24 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-24 | |
| Rep | 提供自動化交易服務 | 2003-04-01 | 2004-06-24 | |
| Rep | 證券交易 | 2003-04-01 | 2004-11-20 |
已採集記錄中暫無金管局登記。