| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Professional, Eligible Counterparty, Retail (Investment) | Share Alternative Debenture Certificates representing certain security Debenture 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) Unit Warrant |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security 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 Rights to or interests in investments (Contractually Based Investments) Alternative Debenture Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Debenture |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Security) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Spread Bet Rights to or interests in investments (Contractually Based Investments) Debenture |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security 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 Rights to or interests in investments (Contractually Based Investments) Alternative Debenture Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Debenture |
| Causing dematerialised instructions to be sent | Professional, Eligible Counterparty, Retail (Investment) | Share Alternative Debenture Certificates representing certain security Debenture 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) Unit Warrant |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security 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 Rights to or interests in investments (Contractually Based Investments) Debenture Government and public security Unit |
| Advising on P2P agreements | Retail (Investment), Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security 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 Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Spread Bet Rights to or interests in investments (Contractually Based Investments) Debenture |
| 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 |
| 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 |