| C/R | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2004-05-07 |
| C | Advising on futures contracts | 2005-06-23 | 2012-05-11 |
| C | Advising on securities | - | 2004-05-07 |
| C | Advising on securities | 2005-06-23 | 2012-05-11 |
| C | Asset management | - | 2004-05-07 |
| C | Asset management | 2005-06-23 | 2012-05-11 |
| C | Dealing in futures contracts | 2008-04-01 | 2012-05-11 |
| C | Dealing in securities | - | 2004-08-30 |
| C | Dealing in securities | 2005-06-23 | 2012-05-11 |