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