| 受监管活动 | 客户类型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Future (excluding a commodity future and a rolling spot forex contract) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Unit |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | Rights to or interests in investments (Security) Warrant Unit Certificates representing certain security Future (excluding a commodity future and a rolling spot forex contract) Option (excluding a commodity option and an option on a commodity future) Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Share Personal pension scheme Stakeholder pension scheme |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security Debenture Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Unit Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Future (excluding a commodity future and a rolling spot forex contract) Rights to or interests in investments (Contractually Based Investments) Share Warrant Personal pension scheme Life Policy |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security Future (excluding a commodity future and a rolling spot forex contract) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Unit Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Share Warrant Personal pension scheme Life Policy |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security Debenture Government and public security Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Stakeholder pension scheme Warrant Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Future (excluding a commodity future and a rolling spot forex contract) Life Policy Rights to or interests in investments (Contractually Based Investments) Share |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security Debenture Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) Unit Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Future (excluding a commodity future and a rolling spot forex contract) Rights to or interests in investments (Security) Share Warrant Government and public security Stakeholder pension scheme |