- 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
|
|---|
02/02/2021 |
Securities and Exchange Commission |
Bradford Securities LLC |
- |
20/01/2021 |
Securities and Exchange Commission |
Bradford Securities LLC |
- |
04/12/2012 |
FSA - The Financial Services Authority (The UK Supervisory Authority) |
Bradford Securities LLC |
89KB |
