CMVM
skip
Language
pageBackground
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

RiverRock Securities Limited

Address:

3rd Floor, 8-10 Grosvenor Gardens, SW1V 0DH London

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 17/04/2009
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 17/04/2009
Reception and transmission of orders relating to units in collective investment undertakings 17/04/2009
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 17/04/2009
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); 17/04/2009
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 17/04/2009
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 17/04/2009
Reception and transmission of orders relating to financial contracts for differences 17/04/2009
Execution of securities orders on behalf of clients 17/04/2009
Execution of money-market instruments orders on behalf of clients 17/04/2009
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 17/04/2009
Execution of orders on behalf of clients 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 17/04/2009
Execution of orders on behalf of clients 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); 17/04/2009
Execution of orders on behalf of clients 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 17/04/2009
Execution of orders on behalf of clients relating to derivative instruments for the transfer of credit risk 17/04/2009
Execution of orders on behalf of clients relating to financial contracts for differences 17/04/2009
Dealing in securities for own account 17/04/2009
Dealing for own account with regard to money market instruments 17/04/2009
Dealing in units in collective investment undertakings for own account 17/04/2009
Dealing for own account with regard 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 17/04/2009
Dealing for own account with regard 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); 17/04/2009
Dealing for own account with regard 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 17/04/2009
Dealing in derivative instruments for the transfer of credit risk for own account 17/04/2009
Dealing for own account with respect to financial contracts for differences 17/04/2009
Securities investment advice 17/04/2009
Investment advice concerning money market instruments 17/04/2009
Investment advice on units in collective investment undertakings 17/04/2009
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 17/04/2009
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); 17/04/2009
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 17/04/2009
Investment advice on derivative instruments for the transfer of credit risk 17/04/2009
Investment advice concerning financial contracts for diferences 17/04/2009
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 17/04/2009
Foreign exchange services where these services are connected to the provision of investment services 17/04/2009
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 17/04/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 17/04/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 17/04/2009
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 17/04/2009
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); 17/04/2009
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 17/04/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 17/04/2009
Reception and transmission of orders relating to money-market instruments 17/04/2009