| Regulated activities | Client type | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Retail (Investment), Professional | Structured Deposits Personal pension scheme Share Debenture Government and public security 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) |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Structured Deposits Personal pension scheme Share Debenture Government and public security 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) |
| Dealing in investments as agent | Eligible Counterparty, Professional | Structured Deposits Personal pension scheme Share Debenture Government and public security 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) |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Personal pension scheme Share Debenture Government and public security 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 |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | Structured Deposits Personal pension scheme Share Debenture Government and public security 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) |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Structured Deposits Personal pension scheme Share Debenture Government and public security 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) |