| กิจกรรมภายใต้การกำกับ | ประเภทลูกค้า | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Unit Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Spread Bet Rolling spot forex contract |
| Managing 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) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) Rolling spot forex contract |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Unit Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) Rolling spot forex contract Unit Warrant |
| Dealing in investments as agent | 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) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) Unit |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Unit Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) Commodity Future Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) Spread Bet Rolling spot forex contract |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Unit Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) |
| Advising on P2P agreements | Retail (Investment), Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), Professional, Eligible Counterparty | Share Warrant Certificates representing certain security Unit Rights to or interests in investments (Security) Option (excluding a commodity option and an option on a commodity future) Commodity option and option on commodity future Future (excluding a commodity future and a rolling spot forex contract) 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) |