F1SCHEDULE 2SECTIONS A AND C OF ANNEX I TO THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND RELATED F2EU 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

F2

Word in Sch. 2 heading substituted (1.4.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017 (S.I. 2017/488), arts. 1(2), 10(2)

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 F3an MTF.”

F49

Operation of an OTF.