| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-01-08 |
| C | Advising on corporate finance | 2012-03-02 | - |
| C | Advising on futures contracts | 2004-01-08 | 2020-02-04 |
| C | Advising on securities | - | 2019-12-03 |
| C | Asset management | - | 2004-01-08 |
| C | Automated trading services | 2010-04-16 | 2020-06-15 |
| C | Dealing in futures contracts | 2004-01-08 | - |
| C | Dealing in securities | - | - |