| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-01-10 |
| C | Advising on futures contracts | 2006-03-03 | 2006-09-11 |
| C | Advising on securities | - | - |
| C | Asset management | - | 2005-01-10 |
| C | Asset management | 2005-09-29 | 2006-09-11 |
| C | Dealing in futures contracts | 2006-03-03 | 2006-09-11 |
| C | Dealing in securities | - | - |