| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Operating an Organised Trading Facility (OTF) | Professional, Eligible Counterparty | Rolling spot forex contract Spread Bet Commodity Future Emissions Allowance Government and public security Debenture 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) Certificates representing certain security Warrant Rights to or interests in investments (Contractually Based Investments) |
| Operating a Multilateral Trading Facility (MTF) | | Debenture Future (excluding a commodity future and a rolling spot forex contract) 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) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) Government and public security |
| Making arrangements with a view to transactions in investments | Eligible Counterparty, Professional | 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 Rolling spot forex contract |
| Dealing in investments as principal | 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 |
| Dealing in investments as agent | 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 |
| Arranging (bringing about) deals in investments | 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 |
| Advising on P2P agreements | Eligible Counterparty, Professional | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Eligible Counterparty, Professional | 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 |