Investment Services

Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9

Ancillary Services

Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10

Cross Border Services to Member States

Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10 Investment Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Reception and transmission of orders in relation to one or more financial instruments: 1,2,3,4,9,10 Execution of orders on behalf of clients: 1,2,3,4,9,10 Dealing on own account. : 9 Portfolio management. : 1,9 Provision of investment advice: 1,9 Ancillary Services Explanations: 1 2 3 4 5 6 7 8 9 10 11 Safekeeping and administration of financial instruments, including custodianship and related services: 1,2,3,4,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,9,10 Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,9,10

Provision of Services to Countries Outside EU

CIFs may provide their services to countries outside the EU provided that they comply with the regulatory regime of the third country.

China, South Africa, Switzerland, Uganda, United Arab Emirates