9 Restricted Activities


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