| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | 2010-07-22 | 2012-08-15 |
| C | Advising on corporate finance | 2018-09-04 | - |
| C | Advising on securities | 2009-03-13 | - |
| C | Dealing in futures contracts | 2004-07-15 | - |
| C | Dealing in securities | 2004-07-15 | - |
| C | Leveraged foreign exchange trading | 2008-12-30 | 2011-04-21 |