INDI Subdivision S2.3.A.3 Dealing in investments

Examples of roles performing this function — dealing in investments

•   private client stock broker
•   trader in securities, equities, futures or bonds
•   securities underwriter
•   dealing in securities or derivatives
•   commodities futures broker
S2.3.31 Dealing in investments following receipt of orders or instructions from customers
S2.3.32 Dealing in investments on the firm's own account
Derived from QFCRA RM/2014-5 (as from 1st January 2015)