CMVM
skip
Language
pageBackground
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

TA Associates (UK) LLP

Address:

3rd Floor, Devonshire House, 1 Mayfair Place
W1J 8AJ London, ENGLAND

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 12/06/2013
Investment services and activities and also ancillary services of the type included under Section A or B of Annex 1 related to the underlying of the derivatives included under Section C - 5, 6, 7 and 10 - where these are connected to the provision of investment or ancillary services. 12/06/2013
Reception and transmission of orders relating to money-market instruments 12/06/2013
Reception and transmission of orders relating to units in collective investment undertakings 12/06/2013
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 12/06/2013
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 12/06/2013
Reception and transmission of orders relating to financial contracts for differences 12/06/2013
Securities investment advice 12/06/2013
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. 12/06/2013
Investment advice concerning money market instruments 12/06/2013
Investment advice on units in collective investment undertakings 12/06/2013
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 12/06/2013
Investment advice on derivative instruments for the transfer of credit risk 12/06/2013
Investment advice concerning financial contracts for diferences 12/06/2013
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 12/06/2013
Foreign exchange services where these services are connected to the provision of investment services 12/06/2013
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 12/06/2013
Investment research and financial analysis or other forms of general recommendations relating to transactions in 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 12/06/2013
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 12/06/2013
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 12/06/2013
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 12/06/2013
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 12/06/2013
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 12/06/2013
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. 12/06/2013