GFI Securities Limited
Address:
Broadgate West, 1 Snowden StreetEC2A 2DQ London, ENGLAND
Authorised services
|
Service
|
Registration date
|
|---|---|
| Reception and transmission of orders relating to securities | 01/11/2007 |
| Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences | 12/10/2018 |
| Reception and transmission of orders relating to money-market instruments | 01/11/2007 |
| Reception and transmission of orders relating to units in collective investment undertakings | 01/11/2007 |
| 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 | 01/11/2007 |
| 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 | 21/07/2010 |
| 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 | 21/07/2010 |
| Reception and transmission of orders relating to derivative instruments for the transfer of credit risk | 21/07/2010 |
| Reception and transmission of orders relating to financial contracts for differences | 21/07/2010 |
| Execution of securities orders on behalf of clients | 12/10/2018 |
| Execution of orders on behalf of clients as to 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. | 12/10/2018 |
| Execution of money-market instruments orders on behalf of clients | 12/10/2018 |
| Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| Execution of orders on behalf of clients relating to derivative instruments for the transfer of credit risk | 12/10/2018 |
| Execution of orders on behalf of clients relating to financial contracts for differences | 12/10/2018 |
| Dealing in securities for own account | 12/10/2018 |
| Dealing for own account with regard to 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. | 12/10/2018 |
| Dealing for own account with regard to money market instruments | 12/10/2018 |
| Dealing in units in collective investment undertakings for own account | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| 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. | 12/10/2018 |
| Dealing in derivative instruments for the transfer of credit risk for own account | 12/10/2018 |
| Dealing for own account with respect to financial contracts for differences | 12/10/2018 |
| Securities investment advice | 01/11/2007 |
| 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. | 21/07/2010 |
| Investment advice concerning money market instruments | 01/11/2007 |
| Investment advice on units in collective investment undertakings | 01/11/2007 |
| 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 | 01/11/2007 |
| 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 | 21/07/2010 |
| 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 | 21/07/2010 |
| Investment advice on derivative instruments for the transfer of credit risk | 21/07/2010 |
| Investment advice concerning financial contracts for diferences | 21/07/2010 |
| Placing of securities without a firm commitment basis | 12/10/2018 |
| Placing without a firm commitment basis 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. | 12/10/2018 |
| Placing of money-market instruments without a firm commitment basis | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| Placing of derivative instruments for the transfer of credit risk without a firm commitment basis | 12/10/2018 |
| Operation of Multilateral Trading Facilities (MTF) concerning securities | 01/11/2007 |
| 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 | 21/07/2010 |
| 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 | 01/11/2007 |
| 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 | 21/07/2010 |
| 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 | 21/07/2010 |
| Operation of Multilateral Trading Facilities regarding Derivative instruments for the transfer of credit risk; | 21/07/2010 |
| Operation of Multilateral Trading Facilities (MTF) relating to financial contracts for differences | 21/07/2010 |
| Operation of Multilateral Trading Facilities in relation to transferable securities | 03/01/2018 |
| Operation of Multilateral Trading Facilities in relation to other derivative contracts relating to climatic variables, emission allowances, inflation rates, rights, obligations, etc. | 03/01/2018 |
| Operation of Multilateral Trading Facilities in relation to derivative contract relating to commodities that can be physically settled traded on a regulated market and/or an MTF | 03/01/2018 |
| Operation of Multilateral Trading Facilities in relation to derivative contracts relating to commodities that can be physically settled not being for commercial purposes | 03/01/2018 |
| Operation of Multilateral Trading Facilities in relation to derivative instruments for the transfer of credit risk | 03/01/2018 |
| Investment research and financial analysis or other forms of general recommendations relating to transaction in securities | 12/10/2018 |
| 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 | 12/10/2018 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments | 12/10/2018 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings | 12/10/2018 |
| 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 | 12/10/2018 |
| 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 | 12/10/2018 |
| 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; | 12/10/2018 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk | 12/10/2018 |
| 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. | 21/07/2010 |
