| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Professional, Eligible Counterparty | Certificates representing certain security
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)
Share
Unit
Warrant |
| Managing an unauthorised AIF | | |
| Managing an authorised AIF | | |
| Managing a UK UCITS | | |
| Establishing, operating or winding up a collective investment scheme | | |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Certificates representing certain security
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)
Share
Unit
Warrant |
| Advising on P2P agreements | Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract) |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty, Retail (Investment), Commercial, Retail (Non-Investment Insurance) | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
Non-investment insurance contracts |
| Dealing in investments as agent | Professional, Eligible Counterparty, Retail (Investment), Retail (Non-Investment Insurance), Commercial | Certificates representing certain security
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)
Share
Unit
Warrant
Non-investment insurance contracts |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty, Retail (Investment), Commercial, Retail (Non-Investment Insurance) | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Non-investment insurance contracts |