Template:FCA Section Investment services

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.