| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-01-21 |
| C | Advising on securities | - | 2005-01-21 |
| C | Asset management | - | 2005-01-21 |
| C | Asset management | 2019-06-27 | 2022-12-21 |
| C | Dealing in futures contracts | 2006-07-03 | 2022-12-21 |
| C | Dealing in securities | - | 2022-12-21 |