| 規制対象業務 | 顧客区分 | 投资品 |
|---|
| Safeguarding and administration of assets (without arranging) | Eligible Counterparty, Professional, Retail (Investment) | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share
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) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share
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) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share
Commodity option and option on commodity future
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) |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share
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) |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Unit
Rights to or interests in investments (Security)
Certificates representing certain security
Warrant
Government and public security
Debenture
Share
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) |