INVESTMENT SERVICES AND ACTIVITIES

1. Reception & Transmission of Orders in relation of one or more financial instruments:
   The objective of the Company is to offer the highest possible quality service of reception and transmission of orders to individuals and legal entities. All the required actions are taken to ensure proper functioning of the reception and transmission of orders for buy/sell securities, protecting the customers' interests guarantying market stability, avoiding conflicts of interest, and providing the fair and equal treatment of all customers.
   
   
2. Execution of Orders on behalf of clients:
   MiFID, the Market in Financial Instruments Directive, requires that investment firms take all reasonable steps to obtain the best overall result in the execution of an order for a client. Finam Limited seeks the best possible terms reasonably available when executing a transaction on behalf of a client, taking into account price, cost, speed, likelihood of execution and settlement, size, nature or any other consideration relevant to the execution of orders. Company’s Order Execution Policy includes details on different venues where we execute our client orders as well as factors affecting the execution.
   
   
3. Portfolio Management
   Finam Limited offers portfolio management services to individual investors as well as institutional investors. Once the investment objectives are clearly set by the customers' investment profile, we are then able to develop a tailor made portfolio and strategy to fulfill and satisfy our customers objectives and expectations. Our professional customized services offer continuous monitoring of customers' portfolio and market conditions, in order to comply with the customers' objectives, providing at the same time through regular communication with our customers, quarterly valuations on their portfolio performance results.

ANCILLARY SERVICES

1. Safekeeping and Administration of Financial Instruments for the account of the clients, including custodianship and related services such as cash/collateral management.
2. Granting Credits or Loans to an Investor to allow him to carry out a transaction in one or more financial instruments, where the Company granting the credits or loans is involved in the transactions.
3. Foreign Exchange Services where these are connected to the provision of investment services.

FINANCIAL INSTRUMENTS

• Transferable securities - means those classes of securities which are negotiable on the capital market, with the exception of instruments of payment, such as:
  • shares in companies and other securities equivalent to shares in companies, partnerships and other entities, and depositary receipts in respect of shares,
  • bonds or other forms of securitized debt, including depositary receipts in respect of such securities,
  • any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to securities, currencies, interest rates or yields, commodities or other indices or measures
• Money-market instruments - means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers, excluding instruments of payment
• Units in collective investment undertakings
• 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.
• 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

We provide services to our Clients on the following exchanges: