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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9

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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: :

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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3 Execution of orders on behalf of clients: 1,3 Dealing on own account. : 1,3 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: 1,3 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: : 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: 1,3,9 Execution of orders on behalf of clients: 1,3,9 Dealing on own account. : 1,3,9 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: 1,3,9 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,3,9 Foreign exchange services where these are connected to the provision of investment services: :

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.

Switzerland