| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security) |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | 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)
Future (excluding a commodity future and a rolling spot forex contract)
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) |
| Dealing in investments as agent | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
Unit |
| Causing dematerialised instructions to be sent | Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security) |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | 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)
Future (excluding a commodity future and a rolling spot forex contract)
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
Unit
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
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) |