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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

J M Finn & Co Ltd

Address:

Salisbury House, London Wall
EC2M 5TA London - ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 20/02/2017
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 20/02/2017
Reception and transmission of orders relating to units in collective investment undertakings 20/02/2017
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 20/02/2017
Execution of securities orders on behalf of clients 20/02/2017
Execution of money-market instruments orders on behalf of clients 20/02/2017
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 20/02/2017
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 20/02/2017
Dealing in securities for own account 03/01/2018
Dealing for own account with regard to money market instruments 03/01/2018
Dealing in units in collective investment undertakings for own account 03/01/2018
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 03/01/2018
Securities portfolio management 20/02/2017
Portfolio management of money-market instruments 20/02/2017
Portfolio management of units in collective investment undertakings 20/02/2017
Portfolio management 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 20/02/2017
Securities investment advice 20/02/2017
Investment advice concerning money market instruments 20/02/2017
Investment advice on units in collective investment undertakings 20/02/2017
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 20/02/2017
Underwriting and/or placing of money market instruments on a firm commitment basis 03/01/2018
Placing of securities without a firm commitment basis 03/01/2018
Placing of money-market instruments without a firm commitment basis 03/01/2018
Placing of units in collective investment undertakings without a firm commitment basis 03/01/2018
Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management; 20/02/2017
Safekeeping and administration of money-market instruments for the account of clients, including custodianship and related services such as cash/collateral management; 20/02/2017
Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management 20/02/2017
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral management, 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; 20/02/2017
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 20/02/2017
Foreign exchange services where these services are connected to the provision of investment services 20/02/2017
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 20/02/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 20/02/2017
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 20/02/2017
Reception and transmission of orders relating to money-market instruments 20/02/2017