| Hoạt động chịu quản lý | Loại khách hàng | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), 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)
Rolling spot forex contract
Unit |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Commodity Future |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Commodity Future
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Rolling spot forex contract |
| Arranging safeguarding and administration of assets | Retail (Investment), 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)
Rolling spot forex contract
Unit |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share
Debenture
Government and public security
Warrant
Certificates representing certain security
Unit
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Option (excluding a commodity option and an option on a commodity future)
Future (excluding a commodity future and a rolling spot forex contract)
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Commodity Future |
| Exercising/having right to exercise lender's rights and duties under a regulated credit agreement (excluding high-cost short-term credit, bill of sale agreement, and home collected credit agreement) | | |
| Entering into regulated credit agreement as Lender (Excluding high-cost short-term credit, bill of sale agreement, and home collected credit agreement) | | |