| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-10-25 |
| C | Advising on futures contracts | - | 2010-11-03 |
| C | Advising on securities | - | 2010-11-03 |
| C | Asset management | - | 2010-11-03 |
| C | Dealing in futures contracts | 2010-11-03 | 2018-12-31 |
| C | Dealing in securities | - | 2018-12-31 |