J.P. MORGAN SE

Act on financial institutions and financial groups § 3-2 cf. § 2-7.

• 1. Acceptance of deposits and other repayable funds
• 2. Lending
• 4. Money transmission services
• 5. Issuing and administering of payments (credit cards etc.)
• 6. Guarantees and commitments
• 7. a) Money-market instruments
• 7. b) Foreign exchange
• 7. c) Financial future/forward contracts and options
• 7. d) Foreign exchange- and interest rate instruments
• 7. e) Transferable securities
• 8. Participation in securities issues and the provision of services related to such issues
• 9. Advisory services
• 10. Money broking
• 11. Portfolio management and advice
• 12. Safekeeping and administration of securities
• 13. Credit reference services

Ancillary services (MiFid directive)

• No 1: Safekeeping and administration of financial instruments on behalf of clients
• No 2: Granting credits in relation to transactions in fin. instruments where the firm is involved
• No 3: Advice on capital structure, strategy et al.; advice and services re. to mergers and purchases
• No 4: Foreign exchange services connected to the provision of investment services
• No 5: Preparation and provision of investment recommendations, financial analyses et al
• No 6: Services related to underwriting
• No 7: Services related to underlying of derivatives connected to investment and ancillary services

Investment services and activities (MiFid directive)

• No 1: Reception and transmission of orders in relation to one or more financial instruments
• No 2: Execution of orders on behalf of clients
• No 3: Dealing on own account
• No 4: Portfolio management
• No 5: Investment advice
• No 6: Underwriting of fin. instruments or placing of fin. instruments on a firm commitment basis
• No 7: Placing of financial instruments without a firm commitment basis

2. Investment services and activities, Securities Trading Act § 2-1 (1)

• No 1: Reception and transmission of orders in relation to one or more financial instruments
• No 2: Execution of orders on behalf of clients
• No 3: Dealing in financial instruments on own account
• No 4: Portfolio management
• No 5: Investment advice
• No 6: Underwriting of fin. instruments or placing of fin. instruments on a firm commitment basis
• No 7: Placing of financial instruments without a firm commitment basis

3. Ancillary services, Securities Trading Act § 2-1 (2)

• No 1: Safekeeping and administration of financial instruments on behalf of clients
• No 2: Granting credits in relation to transactions in fin. instruments where the firm is involved
• No 3: Advice on capital structure, strategy et al.; advice and services re. to mergers and purchases
• No 4: Foreign exchange services connected to the provision of investment services
• No 5: Preparation and provision of investment recommendations, financial analyses et a
• No 6: Services related to underwriting
• No 7: Services related to underlying of derivatives connected to investment and ancillary services