| 受監管活動 | 客戶類型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Sending dematerialised instructions | Retail (Investment), Professional, Eligible Counterparty | Certificates representing certain security Debenture Government and public security Rights to or interests in investments (Security) Share Unit |
| Safeguarding and administration of assets (without arranging) | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Certificates representing certain security Unit Rights to or interests in investments (Security) |
| Dealing in investments as principal | Eligible Counterparty, Retail (Investment), Professional | Unit Rights to or interests in investments (Security) Certificates representing certain security Government and public security Debenture Share |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Certificates representing certain security Unit Rights to or interests in investments (Security) |
| Causing dematerialised instructions to be sent | Retail (Investment), Professional, Eligible Counterparty | Unit Share Government and public security Certificates representing certain security Debenture Rights to or interests in investments (Security) |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Personal pension scheme Share Debenture Government and public security Certificates representing certain security Unit Rights to or interests in investments (Security) |
| Arranging safeguarding and administration of assets | Professional, Retail (Investment), Eligible Counterparty | Personal pension scheme Share Debenture Government and public security Certificates representing certain security Unit Rights to or interests in investments (Security) |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Personal pension scheme Debenture Share Government and public security Certificates representing certain security Unit Rights to or interests in investments (Security) |