| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-02-17 |
| C | Advising on futures contracts | - | 2005-02-17 |
| C | Advising on securities | - | 2012-02-13 |
| C | Advising on securities | 2017-01-17 | - |
| C | Asset management | - | 2005-02-17 |
| C | Asset management | 2017-01-17 | - |
| C | Dealing in securities | 2017-01-17 | - |