| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2024-01-30 |
| C | Advising on futures contracts | 2008-11-04 | 2024-09-27 |
| C | Advising on securities | - | 2025-01-13 |
| C | Asset management | - | 2005-01-03 |
| C | Asset management | 2016-07-19 | 2024-11-14 |
| C | Automated trading services | - | 2003-08-22 |
| C | Automated trading services | 2008-11-04 | 2013-11-01 |
| C | Dealing in futures contracts | 2008-11-04 | 2026-04-22 |
| C | Dealing in securities | - | 2026-09-10 |