| 受监管活动 | 客户类型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Professional, Eligible Counterparty, Retail (Investment) | Rolling spot forex contract Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty, Retail (Investment) | Debenture Commodity Future Commodity option and option on commodity future 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 (Contractually Based Investments) Rolling spot forex contract Rights to or interests in investments (Security) Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Commodity Future Commodity option and option on commodity future 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 (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty, Retail (Investment) | Debenture Commodity Future Commodity option and option on commodity future 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 (Contractually Based Investments) Rolling spot forex contract Rights to or interests in investments (Security) Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Advising on P2P agreements | Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Commodity Future Commodity option and option on commodity future 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 (Contractually Based Investments) Rolling spot forex contract Rights to or interests in investments (Security) |