| أنشطة خاضعة للرقابة | نوع العميل | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Eligible Counterparty, Professional, Retail (Investment) | Future (excluding a commodity future and a rolling spot forex contract) Share Debenture Government and public security Alternative Debenture Warrant Personal pension scheme Certificates representing certain security Rolling spot forex contract Unit Rights to or interests in investments (Contractually Based Investments) Spread Bet |
| Managing investments | Retail (Investment), Professional | Alternative Debenture Debenture Government and public security Warrant Personal pension scheme Certificates representing certain security Unit Rights to or interests in investments (Contractually Based Investments) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Commodity option and option on commodity future Rolling spot forex contract |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Government and public security Rights to or interests in investments (Security) Share Personal pension scheme Alternative Debenture Certificates representing certain security Unit Rights to or interests in investments Debenture Warrant Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future |
| Establishing/operating/winding up a personal pension scheme | | Personal pension scheme |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Rights to or interests in investments (Security) Unit Certificates representing certain security Personal pension scheme Warrant Alternative Debenture Government and public security Debenture Share 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) |
| Dealing in investments as agent | Professional, Retail (Investment), Eligible Counterparty | Warrant Debenture Share Rights to or interests in investments (Security) Unit Alternative Debenture Certificates representing certain security Government and public security Personal 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) |
| Arranging safeguarding and administration of assets | Eligible Counterparty, Professional, Retail (Investment) | Spread Bet Share Debenture Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Commodity Future Future (excluding a commodity future and a rolling spot forex contract) Commodity option and option on commodity future Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) Rolling spot forex contract Unit |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Unit Warrant Rights to or interests in investments Personal pension scheme Share Alternative Debenture Debenture Government and public security 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 |