| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Rights to or interests in investments (Security) Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Rights to or interests in investments (Security) Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Rights to or interests in investments (Security) Rights to or interests in investments (Contractually Based Investments) |
| Sending dematerialised instructions | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Stakeholder pension scheme Rights to or interests in investments (Security) Personal pension scheme |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Stakeholder pension scheme Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Unit Stakeholder pension scheme Rights to or interests in investments (Security) Rights to or interests in investments (Contractually Based Investments) Personal pension scheme |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Stakeholder pension scheme Rights to or interests in investments (Security) Personal pension scheme |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Stakeholder pension scheme Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Unit Stakeholder pension scheme Rights to or interests in investments (Security) Rights to or interests in investments (Contractually Based Investments) Personal pension scheme |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Stakeholder pension scheme Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Rights to or interests in investments (Security) |