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