| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share
Government and public security
Spread Bet
Rolling spot forex contract
Future (excluding a commodity future and a rolling spot forex contract)
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Certificates representing certain security
Commodity Future
Commodity option and option on commodity future
Debenture
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments) |
| Advising on P2P agreements | Retail (Investment), Professional, Eligible Counterparty | |
| Sending dematerialised instructions | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security
Debenture
Government and public security
Option (excluding a commodity option and an option on a commodity future)
Personal pension scheme
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Share
Unit
Warrant |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), 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)
Personal pension scheme
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Rolling spot forex contract |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | 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)
Share
Debenture
Government and public security
Warrant
Certificates representing certain security |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | 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)
Share
Debenture
Warrant
Government and public security
Certificates representing certain security |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
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)
Rolling spot forex contract
Spread Bet
Personal pension scheme
Commodity Future
Commodity option and option on commodity future |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional, Eligible Counterparty | 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)
Personal pension scheme
Rights to or interests in investments (Security)
Share
Unit
Warrant |
| Arranging safeguarding and administration of assets | Retail (Investment), 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)
Personal pension scheme
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Rolling spot forex contract |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | 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)
Share
Debenture
Government and public security
Certificates representing certain security
Warrant |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Option (excluding a commodity option and an option on a commodity future)
Commodity option and option on commodity future
Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
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)
Share
Debenture
Government and public security
Certificates representing certain security
Warrant |