| 受監管活動 | 客戶類型 | 投资品 |
|---|
| Agreeing to carry on a regulated activity | | |
| Making arrangements with a view to transactions in investments | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Alternative Debenture Government and public security Warrant Certificates representing certain security Unit Emissions Allowance Rights to or interests in investments (Security) 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) |
| Dealing in investments as principal | Retail (Investment), Professional, Eligible Counterparty | Share Alternative Debenture Debenture Certificates representing certain security Warrant Unit Rights to or interests in investments (Security) Emissions Allowance Government and public security 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) |
| Dealing in investments as agent | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Government and public security Warrant Certificates representing certain security Unit Emissions Allowance Rights to or interests in investments (Security) Alternative Debenture 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) |
| Arranging (bringing about) deals in investments | Retail (Investment), Professional, Eligible Counterparty | Share Debenture Alternative Debenture Government and public security Warrant Certificates representing certain security Unit Emissions Allowance Rights to or interests in investments (Security) 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) |