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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 International Limited

Address:

11th Floor - 1 Snowden Street
EC2A 2DQ London, ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 16/10/2020
Reception and transmission of orders relating to money-market instruments 16/10/2020
Reception and transmission of orders relating to units in collective investment undertakings 16/10/2020
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 16/10/2020
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); 16/10/2020
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 16/10/2020
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 16/10/2020
Reception and transmission of orders relating to financial contracts for differences 16/10/2020
Execution of securities orders on behalf of clients 16/10/2020
Execution of money-market instruments orders on behalf of clients 16/10/2020
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 16/10/2020
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 16/10/2020
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); 16/10/2020
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 16/10/2020
Execution of orders on behalf of clients 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 16/10/2020
Execution of orders on behalf of clients relating to financial contracts for differences 16/10/2020
Dealing in securities for own account 16/10/2020
Dealing for own account with regard to money market instruments 16/10/2020
Dealing in units in collective investment undertakings for own account 16/10/2020
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 16/10/2020
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); 16/10/2020
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 16/10/2020
Dealing for own account with regard 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. 16/10/2020
Dealing for own account with respect to financial contracts for differences 16/10/2020
Securities investment advice 16/10/2020
Investment advice concerning money market instruments 16/10/2020
Investment advice on units in collective investment undertakings 16/10/2020
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 16/10/2020
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); 16/10/2020
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 16/10/2020
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 16/10/2020
Investment advice concerning financial contracts for diferences 16/10/2020
Underwriting and/or placing of securities on a firm commitment basis; 16/10/2020
Underwriting and/or placing of money market instruments on a firm commitment basis 16/10/2020
Underwriting and/or placing of units in collective investment undertakings on a firm commitment basis 16/10/2020
Underwriting and/or placing on a firm commitment basis the 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 16/10/2020
Underwriting and/or placing on a firm commitment basis the 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); 16/10/2020
Underwriting and/or placing of 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 on a firm commitment basis 16/10/2020
Underwriting and/or placing on a firm commitment basis the 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 16/10/2020
Underwriting and/or placing of financial contracts for diferences on a firm commitment basis 16/10/2020
Placing of securities without a firm commitment basis 16/10/2020
Placing of money-market instruments without a firm commitment basis 16/10/2020
Placing of units in collective investment undertakings without a firm commitment basis 16/10/2020
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 16/10/2020
Placing without a firm commitment basis of 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); 16/10/2020
Placing without a firm commitment basis of 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 16/10/2020
Placing without a firm commitment basis of 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 16/10/2020
Placing of financial contracts for differences without a firm commitment basis 16/10/2020
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 16/10/2020
Foreign exchange services where these services are connected to the provision of investment services 16/10/2020
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 16/10/2020
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 16/10/2020
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 16/10/2020
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 16/10/2020
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); 16/10/2020
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 16/10/2020
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; 16/10/2020
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 16/10/2020
Services related to securities underwriting 16/10/2020
Services related to money-market instruments underwriting 16/10/2020
Services related to underwriting of units in collective investment undertakings 16/10/2020
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 16/10/2020
Services related to underwriting of 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); 16/10/2020
Services related to underwriting of 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 16/10/2020
Services related to underwriting of 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 16/10/2020
Services related to underwriting of financial contracts for differences 16/10/2020