| Aktiviti terkawal | Jenis pelanggan | 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) |