| أنشطة خاضعة للرقابة | نوع العميل | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Retail (Investment), Professional | Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Security)
Warrant
Government and public security
Unit
Debenture
Personal pension scheme
Stakeholder pension scheme
Share
Rights to or interests in investments (Contractually Based Investments)
Certificates representing certain security |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Personal pension scheme |
| Providing Targeted Support | Retail (Investment) | Unit
Rights to or interests in investments (Security)
Share
Government and public security
Personal pension scheme
Certificates representing certain security
Life Policy
Rights to or interests in investments (Contractually Based Investments)
Debenture |
| Managing investments | Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Personal pension scheme |
| Establishing/operating/winding up a personal pension scheme | | Personal pension scheme |
| Dealing in investments as principal | Retail (Investment) | Personal pension scheme |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional | Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Stakeholder pension scheme
Share
Warrant
Personal pension scheme
Debenture
Unit
Certificates representing certain security
Government and public security |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Personal pension scheme |
| Making arrangements with a view to transactions in investments | Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Stakeholder pension scheme
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Non-investment insurance contracts
Personal pension scheme |
| Dealing in investments as agent | Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Non-investment insurance contracts
Personal pension scheme |
| Arranging (bringing about) deals in investments | Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Stakeholder pension scheme
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Non-investment insurance contracts
Personal pension scheme |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Life Policy
Stakeholder pension scheme
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Non-investment insurance contracts
Personal pension scheme |