| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UOB KAY HIAN (HONG KONG) LIMITED | RO | 就证券提供意见 | 2022-11-14 | - |
| RO | 证券交易 | 2022-11-14 | - | |
| Rep | 就证券提供意见 | 2022-04-20 | 2022-11-14 | |
| Rep | 证券交易 | 2022-04-20 | 2022-11-14 | |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2022-04-20 | - |
| CCB INTERNATIONAL SECURITIES LIMITED | RO | 就证券提供意见 | 2018-09-03 | 2022-01-25 |
| RO | 期货合约交易 | 2018-09-03 | 2022-01-25 | |
| RO | 证券交易 | 2018-09-03 | 2022-01-25 | |
| Rep | 就证券提供意见 | 2018-06-07 | 2018-09-03 | |
| Rep | 期货合约交易 | 2018-06-07 | 2018-09-03 | |
| Rep | 证券交易 | 2018-06-07 | 2018-09-03 | |
| KGI Asset Management Limited | RO | 提供资产管理 | 2018-03-29 | 2018-05-05 |
| KGI CAPITAL ASIA LIMITED | RO | 就机构融资提供意见 | 2018-03-29 | 2018-05-05 |
| KGI FUTURES (HONG KONG) LIMITED | RO | 就期货合约提供意见 | 2018-03-29 | 2018-05-05 |
| RO | 期货合约交易 | 2018-03-29 | 2018-05-05 | |
| KGI ASIA LIMITED | RO | 就证券提供意见 | 2017-10-03 | 2018-05-05 |
| RO | 证券交易 | 2017-10-03 | 2018-05-05 | |
| KGI Asset Management Limited | RO | 证券交易 | 2016-08-08 | 2018-05-05 |
| RO | 就证券提供意见 | 2015-05-04 | 2018-05-05 | |
| GRAND CATHAY SECURITIES (HONG KONG) LIMITED | RO | 证券交易 | 2014-07-29 | 2017-10-02 |
| KGI CAPITAL ASIA LIMITED | RO | 就证券提供意见 | 2014-07-29 | 2018-05-05 |
| RO | 证券交易 | 2014-07-29 | 2018-05-05 | |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 就证券提供意见 | 2014-07-29 | 2017-10-02 |
| KGI WEALTH MANAGEMENT LIMITED | RO | 就证券提供意见 | 2014-07-29 | 2017-10-02 |
| RO | 证券交易 | 2014-07-29 | 2017-10-02 | |
| KGI SECURITIES (HONG KONG) LIMITED | RO | 证券交易 | 2013-07-26 | 2017-10-02 |
| KGI ASIA LIMITED | RO | 就证券提供意见 | 2013-03-26 | 2017-10-02 |
| RO | 证券交易 | 2013-03-26 | 2017-10-02 | |
| Rep | 就证券提供意见 | 2013-01-09 | 2013-03-26 | |
| Rep | 证券交易 | 2013-01-09 | 2013-03-26 | |
| Credit Agricole Securities (Asia) Limited | RO | 证券交易 | 2005-07-20 | 2010-11-01 |
| Rep | 证券交易 | 2005-06-07 | 2005-07-20 |
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