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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

Cowen Execution Services Limited

Address:

16-18 New Bridge Street, EC4V 6AG

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 22/02/2008
Services related to underwriting of financial contracts for differences 19/10/2020
Reception and transmission of orders relating to units in collective investment undertakings 22/02/2008
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 07/02/2017
Reception and transmission of orders relating to financial contracts for differences 22/02/2008
Execution of securities orders on behalf of clients 07/02/2017
Execution of money-market instruments orders on behalf of clients 19/10/2020
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 07/02/2017
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 07/02/2017
Execution of orders on behalf of clients relating to financial contracts for differences 07/02/2017
Dealing in securities for own account 19/10/2020
Dealing for own account with regard to money market instruments 19/10/2020
Dealing in units in collective investment undertakings for own account 19/10/2020
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 19/10/2020
Dealing for own account with respect to financial contracts for differences 19/10/2020
Securities investment advice 07/02/2017
Investment advice concerning money market instruments 19/10/2020
Investment advice on units in collective investment undertakings 07/02/2017
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 07/02/2017
Investment advice concerning financial contracts for diferences 07/02/2017
Placing of securities without a firm commitment basis 19/10/2020
Placing of money-market instruments without a firm commitment basis 19/10/2020
Placing of units in collective investment undertakings without a firm commitment basis 19/10/2020
Placing without a firm commitment basis of 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 19/10/2020
Placing of financial contracts for differences without a firm commitment basis 19/10/2020
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 19/10/2020
Foreign exchange services where these services are connected to the provision of investment services 19/10/2020
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 07/02/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 19/10/2020
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 07/02/2017
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 07/02/2017
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 07/02/2017
Services related to securities underwriting 19/10/2020
Services related to money-market instruments underwriting 19/10/2020
Services related to underwriting of units in collective investment undertakings 19/10/2020
Services related to underwriting of 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 19/10/2020
Reception and transmission of orders relating to money-market instruments 19/10/2020