| 受監管活動 | 客戶類型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Safeguarding and administration of assets (without arranging) | Professional, Eligible Counterparty | Binary Bet
Share
Debenture
Government and public security
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 |
| Making arrangements with a view to transactions in investments | Professional, Eligible Counterparty | Binary Bet
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)
Rolling spot forex contract
Rights to or interests in investments (Contractually Based Investments)
Government and public security
Debenture
Share |
| Dealing in investments as principal | Professional, Eligible Counterparty | Binary Bet
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)
Rolling spot forex contract
Rights to or interests in investments (Contractually Based Investments)
Share
Government and public security
Debenture |
| Dealing in investments as agent | Professional, Eligible Counterparty | Binary Bet
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)
Rolling spot forex contract
Rights to or interests in investments (Contractually Based Investments)
Share
Government and public security
Debenture |
| Arranging safeguarding and administration of assets | Professional, Eligible Counterparty | Binary Bet
Share
Debenture
Government and public security
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 |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty | Binary Bet
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)
Rolling spot forex contract
Rights to or interests in investments (Contractually Based Investments)
Share
Government and public security
Debenture |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Professional, Eligible Counterparty | Binary Bet
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)
Rolling spot forex contract
Rights to or interests in investments (Contractually Based Investments)
Share
Unit
Government and public security |
| Exercising or having the right to exercise the owner's rights and duties under a regulated consumer hire agreement | | |
| Entering into Regulated Consumer Hire Agreements as owner | | |