| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-10-15 |
| C | Advising on corporate finance | 2012-05-25 | - |
| C | Advising on securities | - | - |
| C | Asset management | - | 2004-10-15 |
| C | Asset management | 2007-05-14 | - |
| C | Dealing in futures contracts | 2004-10-15 | - |
| C | Dealing in securities | - | - |