84,207
edits
MiFID business - FCA Rulebook Term: Difference between revisions
Jump to navigation
Jump to search
no edit summary
Amwelladmin (talk | contribs) No edit summary |
Amwelladmin (talk | contribs) No edit summary |
||
| Line 1: | Line 1: | ||
{{g}}{{fcaprov|MiFID business}} is defined in the FCA rulebook [https://www.handbook.fca.org.uk/handbook/glossary/G1976.html here]. | {{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]] 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 facility|multilateral trading facilities]]; and | |||
:(i) operating an [[Organised trading facility|OTF]]. | |||