| 受监管活动 | 客户类型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Professional, Eligible Counterparty | Share
Debenture
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 |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Share
Debenture
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)
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as principal | Professional, Eligible Counterparty | Share
Debenture
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) |
| Dealing in investments as agent | Professional, Eligible Counterparty | Share
Debenture
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 |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Share
Debenture
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 |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | Share
Debenture
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)
Rights to or interests in investments (Contractually Based Investments) |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Share
Debenture
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 |