| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-11-24 |
| C | Advising on futures contracts | - | 2015-06-15 |
| C | Advising on securities | - | - |
| C | Asset management | - | - |
| C | Dealing in futures contracts | 2018-02-09 | - |
| C | Dealing in securities | 2005-07-21 | - |
| C | Leveraged foreign exchange trading | 2020-01-09 | - |