| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2019-03-29 |
| C | Advising on futures contracts | - | 2004-07-30 |
| C | Advising on securities | - | 2004-07-30 |
| C | Advising on securities | 2007-08-01 | 2019-03-29 |
| C | Asset management | - | 2006-05-02 |
| C | Dealing in securities | - | 2019-03-29 |