| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2016-06-30 |
| C | Advising on corporate finance | 2016-07-01 | - |
| C | Advising on securities | - | 2016-06-30 |
| C | Advising on securities | 2016-07-01 | - |
| C | Asset management | - | 2004-10-25 |
| C | Automated trading services | - | 2004-10-25 |
| C | Dealing in securities | - | 2016-06-30 |
| C | Dealing in securities | 2016-07-01 | - |