| أنشطة خاضعة للرقابة | نوع العميل | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments) |
| Sending dematerialised instructions | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Personal pension scheme |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Personal pension scheme |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Personal pension scheme |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Unit
Stakeholder pension scheme
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Personal pension scheme |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity Future
Rights to or interests in investments (Security) |