N M Rothschild & Sons Limited
Address:
New Court - St Swithin's LaneEC4P 4DU London - ENGLAND
Authorised services
|
Service
|
Registration date
|
|---|---|
| Reception and transmission of orders relating to securities | 09/04/2018 |
| Investment advice concerning financial contracts for diferences | 09/04/2018 |
| Reception and transmission of orders relating to money-market instruments | 09/04/2018 |
| Reception and transmission of orders relating to units in collective investment undertakings | 09/04/2018 |
| 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 | 09/04/2018 |
| 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); | 09/04/2018 |
| 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 | 09/04/2018 |
| 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 | 09/04/2018 |
| Reception and transmission of orders relating to derivative instruments for the transfer of credit risk | 09/04/2018 |
| Reception and transmission of orders relating to financial contracts for differences | 09/04/2018 |
| Securities investment advice | 09/04/2018 |
| 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. | 09/04/2018 |
| Investment advice concerning money market instruments | 09/04/2018 |
| Investment advice on units in collective investment undertakings | 09/04/2018 |
| 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 | 09/04/2018 |
| 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); | 09/04/2018 |
| 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 | 09/04/2018 |
| 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 | 09/04/2018 |
| Investment advice on derivative instruments for the transfer of credit risk | 09/04/2018 |
| 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. | 09/04/2018 |
