| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Making arrangements with a view to transactions in investments | 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) |
| 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) |
| Arranging (bringing about) deals in investments | 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) |
| Advising on P2P agreements | Professional, Retail (Investment) | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Retail (Investment) | Structured Deposits
Unit
Share
Government and public security
Warrant
Certificates representing certain security
Debenture
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security) |
| Sending dematerialised instructions | 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)
Personal pension scheme |
| 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 |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Stakeholder pension scheme
Personal pension scheme |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
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
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |