| 규제 대상 활동 | 고객 유형 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Unit Warrant |
| Making arrangements with a view to transactions in investments | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Structured Deposits Unit Warrant |
| Dealing in investments as principal | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Unit Warrant |
| Dealing in investments as agent | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Structured Deposits Unit Warrant |
| Arranging safeguarding and administration of assets | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Unit Warrant |
| Arranging (bringing about) deals in investments | Eligible Counterparty, Professional, Retail (Investment) | Personal pension scheme Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Contractually Based Investments) Rights to or interests in investments (Security) Rolling spot forex contract Share Structured Deposits Unit Warrant |