CMVM
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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

CLSA (UK)

Address:

12th Floor, Moor House
EC2A 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