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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

Smith & Williamson Investment Services Limited

Address:

25 Moorgate, London EC2R 6AY

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 19/12/2019
Foreign exchange services where these services are connected to the provision of investment services 19/12/2019
Reception and transmission of orders relating to units in collective investment undertakings 19/12/2019
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 19/12/2019
Reception and transmission of orders relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Reception and transmission of orders relating to options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 19/12/2019
Reception and transmission of orders relating to options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C/6) and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 19/12/2019
Reception and transmission of orders relating to financial contracts for differences 19/12/2019
Execution of securities orders on behalf of clients 19/12/2019
Execution of money-market instruments orders on behalf of clients 19/12/2019
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 19/12/2019
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 19/12/2019
Execution of orders on behalf of clients relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Execution of orders on behalf of clients relating to options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 19/12/2019
Execution of orders on behalf of clients relating to options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 19/12/2019
Execution of orders on behalf of clients relating to financial contracts for differences 19/12/2019
Dealing in securities for own account 19/12/2019
Dealing for own account with regard to money market instruments 19/12/2019
Dealing in units in collective investment undertakings for own account 19/12/2019
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 19/12/2019
Dealing for own account with regard to options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Dealing for own account with regard to options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 19/12/2019
Dealing for own account with regard to options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls. 19/12/2019
Dealing for own account with respect to financial contracts for differences 19/12/2019
Securities portfolio management 19/12/2019
Portfolio management of money-market instruments 19/12/2019
Portfolio management of units in collective investment undertakings 19/12/2019
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 19/12/2019
Portfolio management of options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Portfolio management of options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 19/12/2019
Portfolio management of options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls. 19/12/2019
Portfolio management of financial contracts for differences 19/12/2019
Securities investment advice 19/12/2019
Investment advice concerning money market instruments 19/12/2019
Investment advice on units in collective investment undertakings 19/12/2019
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 19/12/2019
Investment advice on options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Investment advice on options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF 19/12/2019
Investment advice on options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in Section C- 6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls 19/12/2019
Investment advice concerning financial contracts for diferences 19/12/2019
Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management; 19/12/2019
Safekeeping and administration of money-market instruments for the account of clients, including custodianship and related services such as cash/collateral management; 19/12/2019
Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management 19/12/2019
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral 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; 19/12/2019
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral management, of options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event); 19/12/2019
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral management, of options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF; 19/12/2019
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral management, of options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls; 19/12/2019
Safekeeping and administration of financial contracts for differences for the account of clients, including custodianship and related services such as cash/collateral management 19/12/2019
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 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction in one or more money market instruments, where the firm granting the credit or loan is involved in the transaction 19/12/2019
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 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction 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, where the firm granting the credit or loan is involved in the transaction; 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction in options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities 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 event), where the firm granting the credit or loan is involved in the transaction; 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction in options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF, where the firm granting the credit or loan is involved in the transaction 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction in options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls, where the firm granting the credit or loan is involved in the transaction; 19/12/2019
Granting credits or loans to an investor to allow him to carry out a transaction in financial contracts for differences, where the firm granting the credit or loan is involved in the transaction 19/12/2019
Reception and transmission of orders relating to money-market instruments 19/12/2019