| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2007-08-17 |
| C | Advising on corporate finance | 2010-03-10 | 2013-11-01 |
| C | Advising on futures contracts | 2003-08-13 | 2013-11-01 |
| C | Advising on securities | - | 2003-08-13 |
| C | Advising on securities | 2007-01-15 | 2013-11-01 |
| C | Asset management | - | 2003-08-13 |
| C | Asset management | 2007-01-15 | - |
| C | Dealing in futures contracts | 2003-08-13 | 2019-03-20 |
| C | Dealing in securities | - | - |
| C | Leveraged foreign exchange trading | 2008-07-14 | 2015-01-05 |