| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Professional | 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)
Share
Warrant |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Eligible Counterparty, Professional | Binary Bet
Spread Bet
Emissions Allowance
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)
Rights to or interests in investments (Contractually Based Investments) |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Binary Bet
Spread Bet
Emissions Allowance
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)
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Certificates representing certain security
Debenture
Government and public security |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Binary Bet
Spread Bet
Emissions Allowance
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)
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Certificates representing certain security
Debenture
Government and public security |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Binary Bet
Spread Bet
Emissions Allowance
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)
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Certificates representing certain security
Debenture
Government and public security |
| Causing dematerialised instructions to be sent | 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)
Rights to or interests in investments (Security)
Share
Warrant
Unit |
| Arranging safeguarding and administration of assets | Retail (Investment), Eligible Counterparty, Professional | Binary Bet
Spread Bet
Emissions Allowance
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)
Rights to or interests in investments (Contractually Based Investments) |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Binary Bet
Spread Bet
Emissions Allowance
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)
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Certificates representing certain security
Debenture
Government and public security |
| Advising on P2P agreements | Eligible Counterparty, Professional | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Eligible Counterparty, Professional | Spread Bet
Emissions Allowance
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)
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security) |
| 6. Money remittance. | | |