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Whistleblowing

Overview Priorities CMVM annual report/Management financial statements National Council of Financial Supervisors Cooperation agreements with other entities Contacts and Suggestions International activity Use of Logo Careers Money laundering / Financing of terrorism José Luis Sapateiro Prize Financial Innovation Competition Fit and proper assessment Response to COVID 19

News Communiqués Press releases Principal Resolutions of the Management Board Public speeches by the Management Board CMVM events Disclosure of international sanctions Serious and very serious administrative infractions and crimes against the markets Media relations

Information disclosure system

Securities issuers Financial intermediaries Markets Trading venues Non-Financial Entities Investment funds / Asset management Crowdfunding PRIIPs Complex financial products Securitisation Tangible assets Financial analysts Investment advisors Auditors Sustainability Venture capital, Social entrepreneurship, Specialised investment Real estate appraisers New reporting duties Registries Registration dossier

National legislation Other national legislation Consultation papers Securities Code – 2022 update

Periodic publications Securities markets review Research reports Working papers Portuguese National Plan for Financial Education reports Documents archive

Scheduled release dates for statistics Periodic statistics Statistical time series

International activity

CMVM international activity ESMA IOSCO Board of regulators of the Iberian Electricity Market College of Euronext regulators Memoranda of understanding with other entities European and international organisations Brexit EMIR College for Central Counterparties

Investor Relations Warning notices Fraud prevention Tips and Literacy Q&A Complaints Denouncements Financial innovation Investor compensation scheme Recomendations, current transactions and investor protection Enquiries Application for certificate

CMVM

Whistleblowing

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Information disclosure system Financial intermediaries

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.

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Financial intermediaries

UK credit institutions on a transitional regime

Frog Capital Ltd

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1a Birkenhead Street
WC1H 8BA London, ENGLAND

Authorised services

Service	Registration date

Reception and transmission of orders relating to securities	16/11/2012
Reception and transmission of orders relating to money-market instruments	16/11/2012
Reception and transmission of orders relating to units in collective investment undertakings	16/11/2012
Securities investment advice	16/11/2012
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings	16/11/2012
Investment advice on units in collective investment undertakings	16/11/2012
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities	16/11/2012
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments	16/11/2012
Investment advice concerning money market instruments	16/11/2012