Investment Dealer (Full Service Dealer Excluding Underwriting) License
The permitted activities under an Investment Dealer (Full-Service Dealer excl. Underwriting) License are as follows:
- Act as an intermediary in the execution of securities transactions for clients
- Trade in securities as principal with the intention of reselling these securities to the public
- Give investment advice which is ancillary to the normal course of its business activities
- Manage portfolios of clients