Template:FCA Section Investment services: Difference between revisions

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'''{{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>
'''{{fcaprov|investment services}}''' means any of the services and activities listed in Section A of Annex I to [[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>

Latest revision as of 11:46, 13 August 2024

investment services means any of the services and activities listed in Section A of Annex I to [[MiFID}} relating to any {{fcaprov|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.