| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| R | Advising on corporate finance | - | 2005-03-31 |
| R | Advising on corporate finance | 2009-09-02 | - |
| R | Advising on securities | - | 2005-03-31 |
| R | Advising on securities | 2007-03-01 | - |
| R | Asset management | - | 2005-03-31 |
| R | Dealing in securities | - | 2005-03-31 |
| R | Dealing in securities | 2007-03-01 | - |