The application submitted by the investment firm CMTA AG (FN 477532d) for the extension of its existing licence was granted by means of an FMA administrative decision.
With effect from 3 January 2024, the investment firm’s licence therefore covers the authorisation to provide the following investment services and ancillary investment services on a commercial basis:
- Investment advice pursuant to Article 3 para. 2 no. 1 WAG 2018;
- Portfolio management pursuant to Article 3 para. 2 no. 2 WAG 2018;
- Receiving and transmitting of orders pursuant to Article 3 para. 2 no. 3 WAG 2018;
- Execution of orders on behalf of clients pursuant to Article 3 para. 2 no. 6 WAG 2018;
- Trading on own account pursuant to Article 3 para. 2 no. 7 WAG 2018;
- Placing of financial instruments pursuant to Article 3 para. 2 no. 9 WAG 2018;
- Safekeeping and administration of financial instruments pursuant to Article 3 para. 2 no. 10 WAG 2018;
- Foreign exchange services pursuant to Article 3 para. 2 no. 12 WAG 2018;
- Services related to underwriting of issuances for third parties pursuant to Article 3 para. 2 no. 13 WAG 2018;
in relation to the financial instruments pursuant to Article 1 no. 7 lits. a to d and h WAG 2018 with the explicit authorisation for holding client funds and financial instruments.