CLSA (UK)
Address:
12th Floor, Moor HouseEC2A 2DA London - ENGLAND
Authorised services
|
Service
|
Registration date
|
|---|---|
| Reception and transmission of orders relating to securities | 14/09/2015 |
| Services related to securities underwriting | 14/09/2015 |
| 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 | 14/09/2015 |
| Execution of securities orders on behalf of clients | 14/09/2015 |
| Execution of money-market instruments orders on behalf of clients | 14/09/2015 |
| 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 | 14/09/2015 |
| Dealing in securities for own account | 14/09/2015 |
| 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 | 14/09/2015 |
| Securities investment advice | 14/09/2015 |
| 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 | 14/09/2015 |
| Underwriting and/or placing of securities on a firm commitment basis; | 14/09/2015 |
| 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 | 14/09/2015 |
| Placing of securities without a firm commitment basis | 14/09/2015 |
| 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 | 14/09/2015 |
| Foreign exchange services where these services are connected to the provision of investment services | 14/09/2015 |
| Investment research and financial analysis or other forms of general recommendations relating to transaction in securities | 14/09/2015 |
| 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 | 14/09/2015 |
| Reception and transmission of orders relating to money-market instruments | 14/09/2015 |
