S/N*
Investment Services and Activities
FINANCIAL INSTRUMENTS
1
Reception and transmission of orders in relation to one or more financial instruments.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
2
Execution of orders on behalf of clients.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
5
Investment advice.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
6
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
7
Placing of financial instruments without a firm commitment basis.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
S/N*
Ancillary Services
1
Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
2
Granting credits or loans to an investor to allow him to carry out a transaction in 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
3
Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings.
**
5
Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10
6
Services related to underwriting.
**
S/N*
Financial Instruments
1
Transferable securities.
2
Money-market instruments.
3
Units in collective investment undertakings.
4
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
5
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event).
6
Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market or/and an MTF.
7
Options, futures, swaps, forwards and any other derivatice contracts relating to commodities, that can be physically settled not otherwise mentioned in paragraph 6 of Part III and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognized clearing houses or are subject to regular margin calls.
8
Derivative instruments for the transfer of credit risk.
9
Financial contracts for differences.
10
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event), as well as any other derivative contract relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Part, which have the characteristics of other derivative finacial instruments, having regard to whether, inter alia,they are traded on a regulated market or an MTF, are cleared and settled through recognized clearing houses or are subject to regular margin calls.

* As per Law 87(I)2017, adopted by CySEC when authorizing CIFs to perform specific services and activities
** The specific service is not related to financial instruments as these are mentioned in Part III of Law 87(I)2017

Relevant CySEC links

www.cysec.gov.cy/en-GB/entities/investment-firms/cypriot/37703/