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