| 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) | Retail (Investment), Professional, Eligible Counterparty | Warrant
Unit
Spread Bet
Share
Rolling spot forex contract
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture
Commodity option and option on commodity future |
| Managing investments | Retail (Investment), 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
Government and public security |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Warrant
Unit
Spread Bet
Share
Rolling spot forex contract
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture
Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet) |
| Advising on investments (except on Pension Transfers and Pension Opt Outs) | Retail (Investment), 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
Option (excluding a commodity option and an option on a commodity future)
Rights to or interests in investments (Contractually Based Investments)
Unit
Certificates representing certain security
Rights to or interests in investments (Security)
Warrant
Government and public security |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Personal pension scheme
Warrant
Unit
Spread Bet
Share
Rolling spot forex contract
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Personal pension scheme
Warrant
Unit
Share
Rolling spot forex contract
Spread Bet
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture |
| Arranging safeguarding and administration of assets | Retail (Investment), Professional, Eligible Counterparty | Personal pension scheme
Warrant
Unit
Spread Bet
Share
Rolling spot forex contract
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture |
| Arranging (bringing about) deals in investments | Professional, Eligible Counterparty, Retail (Investment) | Personal pension scheme
Warrant
Unit
Spread Bet
Share
Rolling spot forex contract
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)
Government and public security
Future (excluding a commodity future and a rolling spot forex contract)
Debenture |