| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Professional, Eligible Counterparty | Share
Certificates representing certain security
Debenture
Government and public security
Warrant |
| Safeguarding and administration of assets (without arranging) | 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)
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Share
Warrant |
| Operating an Organised Trading Facility (OTF) | Professional, Eligible Counterparty | Rolling spot forex contract
Spread Bet
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Commodity Future
Commodity option and option on commodity future
Government and public security
Debenture
Future (excluding a commodity future and a rolling spot forex contract)
Option (excluding a commodity option and an option on a commodity future)
Unit
Certificates representing certain security
Warrant |
| Operating a Multilateral Trading Facility (MTF) | 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)
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Rolling spot forex contract
Share |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
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)
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as principal | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
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)
Rights to or interests in investments (Contractually Based Investments) |
| Dealing in investments as agent | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Rights to or interests in investments (Security)
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)
Rights to or interests in investments (Contractually Based Investments)
Unit
Certificates representing certain security |
| Causing dematerialised instructions to be sent | Professional, Eligible Counterparty | Certificates representing certain security
Share
Debenture
Government and public security
Warrant |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
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 | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
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)
Rights to or interests in investments (Contractually Based Investments) |
| 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
Rights to or interests in investments (Security)
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)
Rights to or interests in investments (Contractually Based Investments) |