| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-10-20 |
| C | Advising on corporate finance | 2010-01-22 | 2018-02-22 |
| C | Advising on securities | - | - |
| C | Asset management | - | 2004-10-20 |
| C | Automated trading services | - | 2004-10-20 |
| C | Dealing in futures contracts | 2004-10-25 | 2022-09-30 |
| C | Dealing in securities | - | - |