Search phrase: Date from:  
Legend

Authorisation to provide services:


2004/39/ES (MIFID)
93/22/EEC (ISD)
2009/65/ES (UCITS)
Open the calendar popup.
Country: Date to:
Open the calendar popup.


Company's business name and registred office Authorisation to provide services Date received Cessation of provision of services Regulatory institution of member-state



Legend: 2004/39/ES (MIFID)


INVESTMENT SERVICES AND ACTIVITIES (Section A)

  1. Reception and transmission of orders in relation to one or more financial instruments.
  2. Execution of orders on behalf of clients.
  3. Dealing on own account.
  4. Portfolio management.
  5. Investment advice.
  6. Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis.
  7. Placing of financial instruments without a firm commitment basis.
  8. Operation of Multilateral Trading Facilities.

ANCILLARY SERVICES (Section B)

  1. Safekeeping and administration of financial instruments for the account of 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 firm granting the credit or loan is involved in the transaction.
  3. Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings.
  4. Foreign exchange services where these are connected to the provision of investment services.
  5. Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.
  6. Services related to underwriting.
  7. Investment services and activities as well as ancillary services of the type included under Section A or B of Annex 1 related to the underlying of the derivatives included under Section C - 5, 6, 7 and 10 - where these are connected to the provision of investment or ancillary services.

FINANCIAL INSTRUMENTS (Section C)

  1. Transferable securities.
  2. Money-market instruments.
  3. Units in collective investment undertakings.
  4. 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.
  5. 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).
  6. Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF.
  7. Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls.
  8. Derivative instruments for the transfer of credit risk.
  9. Financial contracts for differences.
  10. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics 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), as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market or an MTF, are cleared and settled through recognised clearing houses or are subject to regular margin calls.

Legend: 93/22/EEC (ISD)


SERVICES (section A)

  1. (a) Reception and transmission, on behalf of investors, of orders in relation to one or more of the instruments listed in Section B
    (b) Execution of such orders on behalf of clients
  2. Dealing in any of the instruments listed in Section B for own account
  3. Management of portfolios of investments in accordance with mandates given by investors on a discriminatory, client-by-client basis where such portfolios include one or more of the instruments listed in Section B
  4. Underwriting in respect of issues of any of the instruments listed in Section B and/or the placing of such issues

INSTRUMENTS (section B)

  1. (a) Transferable securities
    (b) Units in collective investment undertakings
  2. Money-market instruments
  3. Financial-futures contracts, including equivalent cash-settled instruments
  4. Forward interest-rate agreements (FRAs)
  5. Interest-rate, currency and equity swaps
  6. Options to acquire or dispose of any instruments falling within this section, including equivalent cash-settled instruments. This category includes in particular currency options and interest rate options

ANCILLARY SERVICES (section C)

  1. Safekeeping and administration in relation to one or more of the instruments listed in Section B
  2. Custodian services
  3. Granting of credits or loans to an investor to allow him to carry out a transaction in one or more of the instruments listed in Section B, where the firm granting the credit or loan is involved in the transaction
  4. Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings.
  5. Services related to underwriting
  6. Financial advice concerning one or more of the instruments listed in Section B
  7. Foreign exchange services where these are connected with the provision of financial services

Legend: 2009/65/ES (UCITS)


A. SERVICES:

  1. Management of portfolios of investments, including those owned by pension fund, in accordance with mandates given by investors on a discretionary, client by client basis, where those portfolios include one or more of the instruments listed in Section C of Annex I of MiFID

B. ANCILLARY SERVICES:

  1. Investment advise concerning one or more of the instruments listed in Section C of Annex I of MiFID
  2. Safekeeping and administration in relation to units of collective investment undertakings
Gallery
Short Selling

ESMA


IOSCO


ESRB