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: 1,2,3,4,5,6,7,8,9,10 Execution of orders on behalf of clients: 1,2,3,4,5,6,7,8,9,10 Dealing on own account. : 1,2,3,4,5,6,7,8,9,10 Portfolio management. : 1,2,3,4,5,6,7,8,9,10 Provision of investment advice: 1,2,3,4,5,6,7,8,9,10 Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis: 1,2,3,4,5,6,7,8,9,10 Placing of financial instruments without a firm commitment basis: 1,2,3,4,5,6,7,8,9,10

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: 1,2,3,4,5,6,7,8,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,5,6,7,8,9,10 Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings: : Foreign exchange services where these are connected to the provision of investment services: : Ιnvestment research and financial analysis or other forms: : 1,2,3,4,5,6,7,8,9,10

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: 1,2,3,4,5,6,7,8,9,10 Execution of orders on behalf of clients: 1,2,3,4,5,6,7,8,9,10 Dealing on own account. : 1,2,3,4,5,6,7,8,9,10 Portfolio management. : 1,2,3,4,5,6,7,8,9,10 Provision of investment advice: 1,2,3,4,5,6,7,8,9,10 Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis: 1,2,3,4,5,6,7,8,9,10 Placing of financial instruments without a firm commitment basis: 1,2,3,4,5,6,7,8,9,10 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: 1,2,3,4,5,6,7,8,9,10 Granting credits or loans to one or more financial instruments, where the firm granting the credit or loan is involved in the transaction: : 1,2,3,4,5,6,7,8,9,10 Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings: : 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.

Armenia, Azerbaijan, Belarus, British Virgin Islands, Cayman Islands, Kazakhstan, Russia, Switzerland, Ukraine