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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

Brewin Dolphin Ltd

Address:

5 Giltspur Street
EC1A 9BD London - ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 03/01/2018
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 03/01/2018
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 03/01/2018
Execution of securities orders on behalf of clients 03/01/2018
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 03/01/2018
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 03/01/2018
Dealing in securities for own account 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 03/01/2018
Portfolio management of units in collective investment undertakings 03/01/2018
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 03/01/2018
Securities investment advice 03/01/2018
Investment advice on units in collective investment undertakings 03/01/2018
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 03/01/2018
Underwriting and/or placing of securities on a firm commitment basis; 03/01/2018
Placing of securities 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; 03/01/2018
Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management 03/01/2018
Granting credits or loans to an investor to allow him to carry out a transaction in securities, where the firm granting the credit or loan is involved in the transaction 03/01/2018
Granting credits or loans to an investor to allow him to carry out a transaction in units in collective investment undertakings, where the firm granting the credit or loan is involved in the transaction 03/01/2018
Foreign exchange services where these services are connected to the provision of investment services 03/01/2018
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 03/01/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 03/01/2018
Reception and transmission of orders relating to units in collective investment undertakings 03/01/2018