OpenLegislation

Division SECTION A Investment services and activities

United Kingdom

Original text. Later amendments are not shown.

  1. (1)

    Reception and transmission of orders in relation to one or more financial instruments;

  2. (2)

    Execution of orders on behalf of clients;

  3. (3)

    Dealing on own account;

  4. (4)

    Portfolio management;

  5. (5)

    Investment advice;

  6. (6)

    Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;

  7. (7)

    Placing of financial instruments without a firm commitment basis;

  8. (8)

    Operation of an MTF;

  9. (9)

    Operation of an OTF.