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investment services and/or activities

    51any of the services and activities listed in Section A of Annex I to MiFID relating to any financial instrument, that is:57

      1. (a) reception and transmission of orders in relation to one or more financial instruments;57
      1. (b) execution of orders on behalf of clients;57
      1. (c) dealing on own account;57
      1. (d) portfolio management;57
      1. (e) the making of a personal recommendation;57
      1. (f) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;57
      1. (g) placing of financial instruments without a firm commitment basis;57
      1. (h) operation of multilateral trading facilities57; and150
      1. (i) operation of an OTF.150

    [Note: article 4(1)(2) of, and section A of Annex 1 to, MiFID and article 6(5) of the auction regulation106]57