| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2005-08-03 |
| C | Advising on corporate finance | 2008-11-07 | - |
| C | Advising on securities | - | - |
| C | Asset management | - | 2005-08-03 |
| C | Dealing in futures contracts | 2011-03-14 | 2012-03-08 |
| C | Dealing in securities | - | - |