| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| Jin Yi Financial Group Limited | RO | 就期货合约提供意见 | 2022-05-16 | - |
| RO | 就证券提供意见 | 2022-05-16 | - | |
| RO | 提供资产管理 | 2022-05-16 | - | |
| RO | 期货合约交易 | 2022-05-16 | - | |
| RO | 证券交易 | 2022-05-16 | - | |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | 期货合约交易 | 2020-12-30 | 2022-03-31 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | RO | 就证券提供意见 | 2020-03-31 | 2022-03-31 |
| RO | 提供资产管理 | 2020-03-31 | 2022-03-31 | |
| KARL-THOMSON SECURITIES COMPANY LIMITED | RO | 证券交易 | 2020-03-31 | 2022-03-31 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就证券提供意见 | 2020-03-26 | 2020-03-31 |
| Rep | 提供资产管理 | 2020-03-26 | 2020-03-31 | |
| CHINA SHANDONG INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | 就证券提供意见 | 2019-04-26 | 2020-03-15 |
| RO | 提供资产管理 | 2019-04-26 | 2020-03-15 | |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | 就证券提供意见 | 2015-06-29 | 2019-03-31 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | 提供资产管理 | 2013-02-19 | 2019-03-31 |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | 就期货合约提供意见 | 2003-04-01 | 2004-07-23 |
| Rep | 提供资产管理 | 2003-04-01 | 2004-07-23 | |
| Rep | 期货合约交易 | 2003-04-01 | 2019-03-31 | |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-07-23 |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-07-23 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-07-23 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-07-23 | |
| Rep | 证券交易 | 2003-04-01 | 2019-03-31 |
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