- 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
Financial intermediaries registered with the CMVM
Authorised services
Novo Banco dos Açores, SA
|
Service
|
Date of registration
|
|---|---|
| Dealing on own account | 01/07/2002 |
| Execution of orders on behalf of clients. | 01/07/2002 |
| Foreign exchange services where these are connected to the provision of investment services | 01/07/2002 |
| Granting credits or loans to an investor to allow him to carry out a transaction in one or more financialinstruments, where the firm granting the credit or loan is involved in the transaction | 01/07/2002 |
| Investment advice | 01/07/2002 |
| Placing of financial instruments without a firm commitment basis | 01/07/2002 |
| Reception and transmission of orders in relation to one or more financial instruments | 01/07/2002 |
| Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management | 01/07/2002 |
| Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis | 01/07/2002 |
