| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2003-09-02 |
| C | Advising on securities | - | 2003-09-02 |
| C | Advising on securities | 2016-06-20 | 2023-11-14 |
| C | Asset management | - | 2003-09-02 |
| C | Asset management | 2016-06-20 | 2023-11-14 |
| C | Dealing in securities | - | - |