- 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
|
|---|
07/06/2019 |
FSMA - Financial Services and Markets Authority (The Belgium supervisory authority) |
Global Alliance Capital |
50KB |
29/05/2017 |
AFM - Netherlands Authority for the Financial Markets (The Netherland Supervisory Authority) |
Global Alliance Capital |
- |
