| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-01-07 |
| C | Advising on corporate finance | 2008-08-20 | - |
| C | Advising on futures contracts | 2012-08-28 | - |
| C | Advising on securities | - | 2005-01-07 |
| C | Advising on securities | 2008-08-20 | - |
| C | Asset management | - | 2005-01-07 |
| C | Dealing in futures contracts | 2012-08-28 | - |
| C | Dealing in securities | - | - |
| C | Leveraged foreign exchange trading | 2012-10-25 | 2016-05-23 |