Financial Business Act.pdf

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While this translation was carried out by a professional translation agency, the text is to be regarded as an unofficial translation based on the latest official Consolidated Act no. 286 of 4 April 2006. Only the Danish document has legal validity. Annex 4 Securities dealers Schedule A 1) October 2006, GlobalDenmark Translations a. Receipt and arrangement for the account of investors of orders in relation to one or more of the instruments mentioned in annex 5, b. execution of such orders for any third party's account, c. arrangement of contracts between a financial undertaking with a license to carry out securities trading activities and a legal or natural person wishing to purchase or sell one or more of the instruments mentioned in annex 5, including having a portfolio strategy based on estimates arranged. 2) Business for own account relating to any of the instruments mentioned in annex 5. 3) Arranging portfolio strategies based on estimates with regard to individual customers' securities equity investments at the directions of investors, if such equity investments include one or more of the instruments mentioned in annex 5. 4) Underwriting in relation to issue of one or more of the instruments mentioned in annex 5, or placement of such issues. 5) Safekeeping and administration in relation to one or more of the instruments mentioned in annex 5. Schedule B 1) Safe custody services 2) Credit or granting of loans to an investor, so that said investor may carry out a transaction with one or more of the instruments mentioned in annex 5, if the undertaking providing such credit or loan participates in the transaction. 3) Advice to undertakings on capital structures, industrial strategy and related questions, and advice and services relating to mergers and acquisition of undertakings. 4) Services in relation to underwriting. 5) Investment consulting regarding one or more of the instruments mentioned in annex 5. 6) Currency transactions when such transactions are related to investment services. EXCLUDING MINOR AMENDMENTS
While this translation was carried out by a professional translation agency, the text is to be regarded as an unofficial translation based on the latest official Consolidated Act no. 286 of 4 April 2006. Only the Danish document has legal validity. Annex 5 Instruments October 2006, GlobalDenmark Translations 1) Shares and other negotiable securities equivalent to these, 2) bonds and other negotiable securities equivalent to these, 3) any other securities normally dealt in giving the right to acquire such securities as listed in 1) or 2) by subscription or exchange or giving rise to a cash settlement, 4) equity investments in investment associations, special-purpose associations, approved restricted associations, hedge associations, foreign investment undertakings and other collective investment schemes covered by the Investment Associations and Special- Purpose Associations as well as other Collective Investment Schemes etc. Act, 5) money-market instruments listed on a stock exchange as well as certificates of deposit and commercial papers, 6) financial-futures contracts and similar instruments, 7) Forward Rate Agreements (FRAs), 8) interest-rate swaps, currency swaps, equity swaps, and equity-index swaps, 9) options to acquire or dispose of any instruments mentioned in 1) to 8) and equity index options, bond index options, currency options and interest-rate options, 10) commodity instruments, etc., including similar cash-settled instruments, 11) foreign-exchange spot transactions for investment purposes in order to secure a profit in connection with changes in the exchange rate. EXCLUDING MINOR AMENDMENTS
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