| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-12-13 |
| C | Advising on corporate finance | 2010-09-17 | 2011-04-15 |
| C | Advising on futures contracts | - | - |
| C | Advising on securities | - | - |
| C | Asset management | - | - |
| C | Dealing in futures contracts | 2017-04-13 | - |
| C | Dealing in securities | - | - |