MiFID business - FCA Rulebook Term: Difference between revisions

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(Created page with "{{g}}Investment services or activities carried on by a MiFID firm, being any of the services and activities listed in Section A of Annex I to MiFID relating to any financial i...")
 
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{{g}}Investment services or activities carried on by a MiFID firm, being any of the services and activities listed in Section A of Annex I to MiFID relating to any financial instrument, that is:
{{g}}{{fcaprov|MiFID business}} is defined in the FCA rulebook [https://www.handbook.fca.org.uk/handbook/glossary/G1976.html here], but (by way of {{nutshell}}) includes “any of the services and activities listed in Section A of {{mifid2prov|Annex I}} to [[MiFID]] relating to any financial instrument, that is:
:(a) reception and transmission of orders in relation to one or more financial instruments;
:(a) [[reception and transmission of orders]] for financial instruments;
:(b) execution of orders on behalf of clients;
:(b) [[order execution]]  for cients;
:(c) dealing on own account;
:(c) [[dealing on own account]];
:(d) portfolio management;
:(d) portfolio management;
:(e) the making of a personal recommendation;
:(e) making personal recommendations;
:(f) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;
:(f) underwriting and committed placing of financial instruments;
:(g) placing of financial instruments without a firm commitment basis;
:(g) uncommitted placing of financial instruments;
:(h) operation of multilateral trading facilities; and
:(h) operating a [[Multilateral trading facility|multilateral trading facilities]]; and
:(i) operation of an OTF.
:(i) operating an [[Organised trading facility|OTF]].

Latest revision as of 11:38, 2 March 2020

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MiFID business is defined in the FCA rulebook here, but (by way of Nutshell™) includes “any of the services and activities listed in Section A of Annex I to MiFID relating to any financial instrument, that is:

(a) reception and transmission of orders for financial instruments;
(b) order execution for cients;
(c) dealing on own account;
(d) portfolio management;
(e) making personal recommendations;
(f) underwriting and committed placing of financial instruments;
(g) uncommitted placing of financial instruments;
(h) operating a multilateral trading facilities; and
(i) operating an OTF.
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