| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security
Government and public security
Share
Warrant
Option (excluding a commodity option and an option on a commodity future)
Debenture
Rights to or interests in investments (Security)
Unit
Rights to or interests in investments (Contractually Based Investments) |
| Managing investments | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Spread Bet |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Structured Deposits
Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a 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)
Rolling spot forex contract |
| Causing dematerialised instructions to be sent | Professional, Eligible Counterparty, Retail (Investment) | Certificates representing certain security
Government and public security
Share
Option (excluding a commodity option and an option on a commodity future)
Debenture
Rights to or interests in investments (Security)
Unit
Rights to or interests in investments (Contractually Based Investments)
Warrant |
| Advising on P2P agreements | Professional, Retail (Investment) | |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
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 |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Structured Deposits
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Rolling spot forex contract
Spread Bet
Commodity Future
Commodity option and option on commodity future
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)
Personal pension scheme
Certificates representing certain security
Debenture |
| Establishing/operating/winding up a personal pension scheme | Retail (Investment), Professional | Personal pension scheme |
| Dealing in investments as principal | Retail (Investment), Professional | Personal pension scheme
Rights to or interests in investments (Contractually Based Investments) |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Stakeholder pension scheme
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 |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Structured Deposits
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Rolling spot forex contract
Spread Bet
Commodity Future
Commodity option and option on commodity future
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)
Personal pension scheme
Unit
Certificates representing certain security |
| Advising on Pension Transfers and Pension Opt Outs | Retail (Investment) | Rights to or interests in investments (Contractually Based Investments)
Personal pension scheme
Rights to or interests in investments (Security)
Stakeholder pension scheme
Unit |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Retail (Investment) | Personal pension scheme
Stakeholder pension scheme
Debenture
Government and public security
Share
Unit
Alternative Debenture |