| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-02-07 |
| C | Advising on corporate finance | 2007-04-18 | 2015-10-29 |
| C | Advising on securities | - | 2005-02-07 |
| C | Asset management | - | 2005-02-07 |
| C | Asset management | 2007-04-18 | 2015-10-29 |
| C | Dealing in securities | - | 2017-10-02 |