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Information disclosure system
The information disclosed is a copy of the data submitted to the CMVM in compliance with legislation and regulations in force and is the sole responsibility of the respective entity.

Financial intermediaries

UK credit institutions on a transitional regime

Prospect Capital Limited

Address:

23 Berkeley Square
W1J 6HE London, ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 08/03/2011
Reception and transmission of orders relating to units in collective investment undertakings 08/03/2011
Reception and transmission of orders relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 08/03/2011
Reception and transmission of orders relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event); 08/03/2011
Reception and transmission of orders relating to options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 08/03/2011
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 08/03/2011
Securities investment advice 08/03/2011
Investment advice concerning money market instruments 08/03/2011
Investment advice on units in collective investment undertakings 08/03/2011
Investment advice on options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 08/03/2011
Investment advice on options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event); 08/03/2011
Investment advice on options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 08/03/2011
Investment advice on derivative instruments for the transfer of credit risk 08/03/2011
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 08/03/2011
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event); 08/03/2011
Investment research and financial analysis or other forms of general recommendation relating to transactions in options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 08/03/2011
Reception and transmission of orders relating to money-market instruments 08/03/2011