MiFID business - FCA Rulebook Term: Difference between revisions

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MiFID business - FCA Rulebook Term (view source)

Revision as of 12:15, 26 February 2020

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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].
:(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; and
:(i) operation of an OTF.
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