- Registered financial intermediaries
- Entities exercising financial intermediation activities under the freedom to provide services
- 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
|
|---|
14/02/2014 |
The Financial Conduct Authority (The UK Supervisory Authority) |
Asia World Capital |
82KB |
03/02/2014 |
The Financial Conduct Authority (The UK Supervisory Authority) |
Asia World Capital |
81KB |
27/01/2014 |
The Financial Conduct Authority (The UK Supervisory Authority) |
Asia World Capital |
81KB |
