Content Options

Content Options

View Options

investment service

    any of the following involving the provision of a service in relation to a financial instrument: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 facilities.57

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