| 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) | Eligible Counterparty, Professional | Rolling spot forex contract 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) Warrant Government and public security Commodity option and option on commodity future Debenture Share Option (excluding a commodity option and an option on a commodity future) Unit Rights to or interests in investments (Contractually Based Investments) Certificates representing certain security |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Certificates representing certain security Commodity option and option on commodity future Commodity Future Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Debenture Future (excluding a commodity future and a rolling spot forex contract) Government and public security 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 Share |
| Dealing in investments as principal | Professional, Eligible Counterparty | Certificates representing certain security 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) Debenture Future (excluding a commodity future and a rolling spot forex contract) Government and public security 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 Share |
| Dealing in investments as agent | Professional, Eligible Counterparty | Certificates representing certain security 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) Debenture Future (excluding a commodity future and a rolling spot forex contract) Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Unit |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Share Warrant Commodity Future Rolling spot forex contract Future (excluding a commodity future and a rolling spot forex contract) Debenture Certificates representing certain security Rights to or interests in investments (Security) Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Government and public security Unit Option (excluding a commodity option and an option on a commodity future) |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | Certificates representing certain security Commodity option and option on commodity future Commodity Future Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Debenture Future (excluding a commodity future and a rolling spot forex contract) Government and public security 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 Share |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Certificates representing certain security 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) Debenture Future (excluding a commodity future and a rolling spot forex contract) Government and public security 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 Share |
| Acting as trustee or depositary of an unauthorised AIF | | |