F1SCHEDULE 2SECTIONS A AND C OF ANNEX I TO THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND RELATED COMMUNITY SUBORDINATE LEGISLATION

Annotations:
Amendments (Textual)
F1

Sch. 2 substituted (1.4.2007 for specified purposes, 1.11.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment No. 3) Order 2006 (S.I. 2006/3384), arts. 1(2), 29

PART 3SECTION A OF ANNEX I TO THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE

“Investment services and activities

1

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

2

Execution of orders on behalf of clients.

3

Dealing on own account.

4

Portfolio management.

5

Investment advice.

6

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

7

Placing of financial instruments without a firm commitment basis.

8

Operation of Multilateral Trading Facilities.”