| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | RO | 證券交易 | 2019-07-03 | - |
| KGI FUTURES (HONG KONG) LIMITED | RO | 期貨合約交易 | 2019-07-03 | - |
| KGI ASIA LIMITED | Rep | 證券交易 | 2017-10-03 | 2019-07-03 |
| KGI SECURITIES (HONG KONG) LIMITED | Rep | 證券交易 | 2008-01-28 | 2017-10-02 |
| KGI ASIA LIMITED | Rep | 就機構融資提供意見 | 2003-04-01 | 2004-06-04 |
| Rep | 就證券提供意見 | 2003-04-01 | 2004-06-04 | |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-04 | |
| Rep | 證券交易 | 2003-04-01 | 2017-10-02 | |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 就期貨合約提供意見 | 2003-04-01 | 2004-06-04 |
| Rep | 提供資產管理 | 2003-04-01 | 2004-06-04 | |
| Rep | 期貨合約交易 | 2003-04-01 | 2019-07-03 |