Template:FCA Section Investment services: Difference between revisions
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Amwelladmin (talk | contribs) Created page with "any of the services and activities listed in Section A of Annex I to {{tag|MiFID}} relating to any {{fcaprov|financial instrument}}, that is: <br> :(a) reception and transmiss..." |
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any of the services and activities listed in Section A of Annex I to {{tag|MiFID}} relating to any {{fcaprov|financial instrument}}, that is: <br> | '''{{fcaprov|investment services}}''' means any of the services and activities listed in Section A of Annex I to {{tag|MiFID}} relating to any {{fcaprov|financial instrument}}, that is: <br> | ||
:(a) reception and transmission of orders in relation to one or more financial instruments; <br> | :(a) reception and transmission of orders in relation to one or more financial instruments; <br> | ||
:(b) execution of orders on behalf of clients; <br> | :(b) execution of orders on behalf of clients; <br> | ||
Revision as of 15:34, 23 March 2015
investment services means 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 in relation to one or more financial instruments;
- (b) execution of orders on behalf of clients;
- (c) dealing on own account;
- (d) portfolio management;
- (e) the making of a personal recommendation;
- (f) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;
- (g) placing of financial instruments without a firm commitment basis;
- (h) operation of multilateral trading facilities.