Date-stamp loading
Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Schedule 1, Part 1 Investment Services

Revoked from 3 January 2018

1. The 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, meaning the activity of trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments.

4. Portfolio management.

5. Investment advice.

6. Underwriting of financial instruments 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.

Comparing proposed amendment...