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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

Tradition (UK) Ltd

Address:

Beaufort House, 15 St. Botolph Street, London EC3A 7QX, ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 22/10/2009
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 25/09/2017
Reception and transmission of orders relating to money-market instruments 22/10/2009
Reception and transmission of orders relating to units in collective investment undertakings 22/10/2009
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 22/10/2009
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); 25/09/2017
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 25/09/2017
Reception and transmission of orders relating to options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C/6) and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 25/09/2017
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 25/09/2017
Reception and transmission of orders relating to financial contracts for differences 25/09/2017
Securities investment advice 22/10/2009
Investment advice on options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics 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 ground), and also any other derivative contracts relating to assets, rights, bonds, indices and measures not otherwise mentioned in Section C, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, it is traded on a regulated market or an MTF, cleared and settled through recognised clearing houses or subject to regular margin calls. 25/09/2017
Investment advice concerning money market instruments 22/10/2009
Investment advice on units in collective investment undertakings 22/10/2009
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 22/10/2009
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); 25/09/2017
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 25/09/2017
Investment advice on options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 25/09/2017
Investment advice on derivative instruments for the transfer of credit risk 25/09/2017
Investment advice concerning financial contracts for diferences 25/09/2017
Operation of Multilateral Trading Facilities (MTF) concerning securities 22/10/2009
Operation of Multilateral Trading Facilities concerning options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics 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 ground), and also any other derivative contracts relating to assets, rights, bonds, indices and measures not otherwise mentioned in Section C, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, it is traded on a regulated market or an MTF, cleared and settled through recognised clearing houses or subject to regular margin calls 25/09/2017
Operation of Multilateral Trading Facilities concerning money-market instruments 22/10/2009
Operation of Multilateral Trading Facilities (MTF) relating to units in collective investment undertakings 25/09/2017
Operation of Multilateral Trading Facilities (MTF) 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 22/10/2009
Operation of Multilateral Trading Facilities regarding 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 (other than by reason of a default or other termination event); 25/09/2017
Operation of Multilateral Trading Facilities (MTF) 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 25/09/2017
Operation of Multilateral Trading Facilities (MTF) relating to options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 25/09/2017
Operation of Multilateral Trading Facilities regarding Derivative instruments for the transfer of credit risk; 25/09/2017
Operation of Multilateral Trading Facilities (MTF) relating to financial contracts for differences 25/09/2017
Foreign exchange services where these services are connected to the provision of investment services 22/10/2009
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 22/10/2009
Investment research and financial analysis or other forms of general recommendations relating to transactions in options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics 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 ground), and also any other derivative contracts relating to assets, rights, bonds, indices and measures not otherwise mentioned in Section C, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, it is traded on a regulated market or an MTF, cleared and settled through recognised clearing houses or subject to regular margin calls 25/09/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 22/10/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 22/10/2009
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 22/10/2009
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); 25/09/2017
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 25/09/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls; 25/09/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 25/09/2017
Reception and transmission of orders in respect of options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics 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 ground), and also any other derivative contracts relating to assets, rights, bonds, indices and measures not otherwise mentioned in Section C, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, it is traded on a regulated market or an MTF, cleared and settled through recognised clearing houses or subject to regular margin calls. 25/09/2017