| 受監管活動 | 客戶類型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Eligible Counterparty, Professional | Government and public security
Debenture
Rights to or interests in investments (Security)
Rights to or interests in investments (Contractually Based Investments)
Unit
Warrant
Certificates representing certain security
Share
Option (excluding a commodity option and an option on a commodity future) |
| 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
Share |
| Operating a Public Offer Platform (POP) | Professional, Eligible Counterparty, Retail (Investment) | Warrant
Certificates representing certain security
Share |
| Managing investments | 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
Share |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Emissions Allowance
Binary Bet
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) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Emissions Allowance
Binary Bet
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) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Emissions Allowance
Binary Bet
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) |
| Causing dematerialised instructions to be sent | Eligible Counterparty, Professional | Rights to or interests in investments (Security)
Debenture
Government and public security
Warrant
Certificates representing certain security
Rights to or interests in investments (Contractually Based Investments)
Unit
Share
Option (excluding a commodity option and an option on a commodity future) |
| 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)
Share
Spread Bet |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Emissions Allowance
Binary Bet
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) |
| Advising on P2P agreements | Professional, Eligible Counterparty | |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | 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
Share |
| Acting as trustee or depositary of an unauthorised AIF | | |