| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-11-09 |
| C | Advising on corporate finance | 2012-02-17 | 2017-02-28 |
| C | Advising on securities | - | 2017-02-28 |
| C | Asset management | - | 2004-11-09 |
| C | Asset management | 2012-02-17 | 2017-02-28 |
| C | Dealing in securities | - | 2017-02-28 |