COVERED INVESTMENT SERVICES

The Guarantee Fund shall cover the below investment services:

 

  • reception and transmission of orders on behalf of the clients for transactions in financial instruments;
  • execution of orders on behalf of clients, namely, concluding agreements to buy or sell one or more financial instruments on behalf of clients;
  • dealing on own account, namely, dealing on Investment Services Undertaking’s own equity in one or more financial instruments for transactions in such instruments;
  • portfolio management of client portfolios at the Investment Services Undertaking’s discretion, following client orders in one or more financial instruments;
  • underwriting of financial instruments or placing of financial instruments on or without a firm commitment basis and,
  • placing of financial instrument without a firm commitment basis

and the ancillary service of:

  • safekeeping and administration of financial instruments on behalf of clients, including custodianship and related services, such as cash/collateral management.

Details regarding covered investment services can be found in section Q&As.

Any other type of investment not falling within the above covered investment services and is provided by an Investment Services Firm – Member of the Guarantee Fund to clients / investors SHALL NOT BE COVERED BY THE GUARANTEE FUND.

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