| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| R | Advising on corporate finance | - | 2003-10-16 |
| R | Advising on futures contracts | 2009-11-13 | 2011-01-31 |
| R | Advising on securities | - | 2014-01-07 |
| C | Advising on securities | 2014-01-07 | - |
| R | Asset management | - | 2014-01-07 |
| C | Asset management | 2014-01-07 | - |
| R | Dealing in securities | - | 2014-01-07 |
| C | Dealing in securities | 2014-01-07 | - |
| C | Leveraged foreign exchange trading | 2023-02-16 | - |