- Registered financial intermediaries
- Entities exercising financial intermediation activities under the freedom to provide services
- UK entities on a transitional regime
- Top five execution venues and quality of execution
- Qualifying holdings in financial intermediaries
- E-mail addresses of financial intermediaries
- Tied agents
- Form for suspicious trade and order report
- Warnings regarding unauthorised financial intermediation
Other information
Financial intermediaries
Warning notices
Communiqués sent to the CMVM by foreign supervisory authorities
|
Date
|
Supervisory authority
|
Entity
|
Format
|
|---|
03/05/2019 |
FMA - Austrian Financial Market Authority (The Austrian Supervisory Authority) |
Five Winds Asset Management |
- |
30/04/2019 |
FMA - Austrian Financial Market Authority (The Austrian Supervisory Authority) |
Five Winds Asset Management |
- |
14/05/2018 |
CONSOB - Commissione Nazionale Per Le Societa Borsa (The Italian Supervisory) Authority) |
Five Winds Asset Management |
- |
