| 受监管活动 | 客户类型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Operating an Organised Trading Facility (OTF) | Professional, Eligible Counterparty | Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Certificates representing certain security
Warrant |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Rolling spot forex contract
Commodity Future
Commodity option and option on commodity future
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Dealing in investments as principal | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Commodity Future |
| Dealing in investments as agent | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Commodity Future |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments
Rights to or interests in investments (Contractually Based Investments)
Rolling spot forex contract
Commodity Future
Commodity option and option on commodity future
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 | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Rolling spot forex contract
Commodity Future
Commodity option and option on commodity future
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |