| 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, Retail (Investment) | Unit Share Warrant Government and public security Debenture Certificates representing certain security Rights to or interests in investments (Security) Alternative Debenture |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty, Retail (Investment) | Commodity Future Future (excluding a commodity future and a rolling spot forex contract) Commodity option and option on commodity future Option (excluding a commodity option and an option on a commodity future) Share Government and public security Certificates representing certain security Debenture Warrant Unit Rights to or interests in investments (Security) Alternative Debenture |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Commodity Future Future (excluding a commodity future and a rolling spot forex contract) Commodity option and option on commodity future Option (excluding a commodity option and an option on a commodity future) Share Unit Certificates representing certain security Government and public security Debenture Warrant Alternative Debenture Rights to or interests in investments (Security) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Commodity Future Future (excluding a commodity future and a rolling spot forex contract) Commodity option and option on commodity future Option (excluding a commodity option and an option on a commodity future) Share Unit Government and public security Debenture Warrant Certificates representing certain security Rights to or interests in investments (Security) Alternative Debenture |
| Arranging safeguarding and administration of assets | Eligible Counterparty, Professional, Retail (Investment) | Share Debenture Rights to or interests in investments (Security) Unit Certificates representing certain security Warrant Government and public security Alternative Debenture |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Commodity Future Future (excluding a commodity future and a rolling spot forex contract) Commodity option and option on commodity future Option (excluding a commodity option and an option on a commodity future) Share Unit Government and public security Debenture Certificates representing certain security Warrant Rights to or interests in investments (Security) Alternative Debenture |