| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-02-19 |
| C | Advising on securities | - | 2004-02-19 |
| C | Asset management | - | 2004-02-19 |
| C | Automated trading services | - | 2004-02-19 |
| C | Dealing in securities | - | - |
| C | Leveraged foreign exchange trading | 2004-03-13 | 2011-11-09 |