| 受監管活動 | 客戶類型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Managing investments | Professional | Spread Bet
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Unit
Certificates representing certain security
Rights to or interests in investments (Security)
Warrant
Rolling spot forex contract |
| Making arrangements with a view to transactions in 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)
Future (excluding a commodity future and a rolling spot forex contract)
Rights to or interests in investments (Contractually Based Investments)
Rights to or interests in investments (Security)
Rolling spot forex contract
Share
Spread Bet
Unit
Warrant |
| Dealing in investments as principal | Professional, Eligible Counterparty, Retail (Investment) | 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)
Future (excluding a commodity future and a rolling spot forex contract)
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
Unit
Warrant |
| Dealing in investments as agent | Professional | Spread Bet
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)
Commodity Future
Future (excluding a commodity future and a rolling spot forex contract)
Commodity option and option on commodity future
Rights to or interests in investments (Contractually Based Investments)
Option (excluding a commodity option and an option on a commodity future)
Unit
Certificates representing certain security
Rights to or interests in investments (Security)
Warrant
Rolling spot forex contract |
| Arranging (bringing about) deals in 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)
Future (excluding a commodity future and a rolling spot forex contract)
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
Spread Bet
Unit |