| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| KGI ASIA LIMITED | Rep | 证券交易 | 2014-05-14 | 2015-09-09 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | 期货合约交易 | 2014-05-14 | 2015-09-09 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | 期货合约交易 | 2006-09-21 | 2013-04-01 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | 就机构融资提供意见 | - | 2004-06-29 |
| Rep | 就证券提供意见 | - | 2004-06-29 | |
| Rep | 提供资产管理 | - | 2004-06-29 | |
| Rep | 提供自动化交易服务 | - | 2004-06-29 | |
| Rep | 证券交易 | - | 2013-04-01 | |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | 就机构融资提供意见 | - | 2004-06-29 |
| Rep | 就证券提供意见 | - | 2004-06-29 | |
| Rep | 提供资产管理 | - | 2004-06-29 | |
| Rep | 提供自动化交易服务 | - | 2004-06-29 | |
| Rep | 证券交易 | - | 2013-04-01 |