Effective from April 1,2003, the SFO
categories financial business as 9 types of restricted activities which means
that, pre-approval by SFC are required. To help user to select POP System
according to the business you are participating, this product guide is arranged according to the type of activities. Since
there are so many POP products each with special functions, only a summary of feature
will be shown. Reader will get the catalogue number from the type of business
activities, and go to the corresponding page for the product descriptions.
The 9 types of Regulated Activity
under SFC regulation.
1 Dealing Securities
2 Dealing in Futures Contracts
3 Leveraged Foreign Exchange
Trading
4. Advising on Securities
5. Advising on Futures Contracts
6. Advising on corporate Finance
7. Providing Automated Trading
Services
8. Securities Margin Financing
9. Asset Management
此本產品介紹，主要將POP產品根據SFC條規所分成的９大合法交易活動進行分類。若在某一分類中，包含的產品太多，則以摘要的方式列出相關產品；讀者可以於產品后標示的頁數取得相關產品的詳細介紹。反之，若分類中所包含的產品並不多，則直接顯示相關產品的詳細介紹，而不於其他地方加以贅述。