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