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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

EM-ES Fund Management LLP

Address:

22 Broadfiels Avenue, Edgware, Middlesex HA8 8PG

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 20/11/2007
Reception and transmission of orders relating to money-market instruments 20/11/2007
Reception and transmission of orders relating to units in collective investment undertakings 20/11/2007
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 20/11/2007
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 20/11/2007
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 20/11/2007
Investment advice concerning financial contracts for diferences 20/11/2007
Securities investment advice 20/11/2007
Investment advice concerning money market instruments 20/11/2007
Investment advice on units in collective investment undertakings 20/11/2007
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 20/11/2007
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 20/11/2007
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 20/11/2007
Reception and transmission of orders relating to financial contracts for differences 20/11/2007