| กิจกรรมภายใต้การกำกับ | ประเภทลูกค้า | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Eligible Counterparty, Professional, Retail (Investment) | Unit
Share
Warrant
Government and public security
Debenture
Certificates representing certain security
Rights to or interests in investments (Security)
Alternative Debenture |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty, Retail (Investment) | Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Option (excluding a commodity option and an option on a commodity future)
Share
Government and public security
Certificates representing certain security
Debenture
Warrant
Unit
Rights to or interests in investments (Security)
Alternative Debenture |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Option (excluding a commodity option and an option on a commodity future)
Share
Unit
Certificates representing certain security
Government and public security
Debenture
Warrant
Alternative Debenture
Rights to or interests in investments (Security) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Option (excluding a commodity option and an option on a commodity future)
Share
Unit
Government and public security
Debenture
Warrant
Certificates representing certain security
Rights to or interests in investments (Security)
Alternative Debenture |
| Arranging safeguarding and administration of assets | Eligible Counterparty, Professional, Retail (Investment) | Share
Debenture
Rights to or interests in investments (Security)
Unit
Certificates representing certain security
Warrant
Government and public security
Alternative Debenture |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Option (excluding a commodity option and an option on a commodity future)
Share
Unit
Government and public security
Debenture
Certificates representing certain security
Warrant
Rights to or interests in investments (Security)
Alternative Debenture |