Investment Services – Licensable Activities

Investment Services – Licensable Activities

The following services constitute licensable investment services when carried out in connection with “instruments” in terms of Malta’s Investment Services Act:

  1. Reception and transmission of orders;
  2. Execution of orders on behalf of other persons;
  3. Dealing on own account;
  4. Third party asset management;
  5. Trustee, custodian or nominee services;
  6. Investment advice in the form of personal recommendations (excluding recommendations issued exclusively through distribution channels or to the public);
  7. Underwriting of instruments and, or placing of instruments on a firm commitment basis;
  8. Placing of instruments without a firm commitment basis;
  9. Operation of a multilateral trading facility, bringing together multiple third parties buying and selling interests instruments, resulting in a contract.

The above services constitute investment services when they are carried out in respect of financial instruments as defined in the Second Schedule to the Investment Services Act.

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