| أنشطة خاضعة للرقابة | نوع العميل | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
Unit
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rolling spot forex contract |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments)
Rolling spot forex contract |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
Unit
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments)
Rolling spot forex contract
Unit
Warrant |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments)
Unit |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
Unit
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rolling spot forex contract |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
Unit
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments) |
| Advising on P2P agreements | Retail (Investment), Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Share
Warrant
Certificates representing certain security
Unit
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Spread Bet
Rights to or interests in investments (Contractually Based Investments) |