| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Professional, Retail (Investment) | Warrant Option (excluding a commodity option and an option on a commodity future) Share Unit Certificates representing certain security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) Unit |
| Dealing in investments as agent | Eligible Counterparty, Professional, Retail (Investment) | Warrant Share Option (excluding a commodity option and an option on a commodity future) Unit Rights to or interests in investments (Contractually Based Investments) Certificates representing certain security Rights to or interests in investments (Security) |
| Arranging safeguarding and administration of assets | Retail (Investment), Eligible Counterparty, Professional | Warrant Option (excluding a commodity option and an option on a commodity future) Share Unit Rights to or interests in investments (Contractually Based Investments) Certificates representing certain security Rights to or interests in investments (Security) |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) Unit |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Unit Share Warrant Certificates representing certain security Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Rights to or interests in investments (Contractually Based Investments) |