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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

Aurorae Limited

Address:

38 North Audley Street London W1K 6ZN

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 15/07/2018
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. 15/07/2018
Reception and transmission of orders relating to money-market instruments 15/07/2018
Reception and transmission of orders relating to units in collective investment undertakings 15/07/2018
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 15/07/2018
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); 15/07/2018
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 15/07/2018
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 15/07/2018
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 15/07/2018
Reception and transmission of orders relating to financial contracts for differences 15/07/2018
Securities investment advice 15/07/2018
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. 15/07/2018
Investment advice concerning money market instruments 15/07/2018
Investment advice on units in collective investment undertakings 15/07/2018
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 15/07/2018
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); 15/07/2018
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 15/07/2018
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 15/07/2018
Investment advice on derivative instruments for the transfer of credit risk 15/07/2018
Investment advice concerning financial contracts for diferences 15/07/2018
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 15/07/2018
Granting credits or loans to an investor to allow him to carry out a transaction where the firm granting the credit or loan is involved in the transaction 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 15/07/2018
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 15/07/2018
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 15/07/2018
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; 15/07/2018
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; 15/07/2018
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 15/07/2018
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; 15/07/2018
Granting credits or loans to an investor to allow him to carry out a transaction in derivative instruments for the transfer of credit risk, where the firm granting the credit or loan is involved in the transaction 15/07/2018
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 15/07/2018
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 15/07/2018
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 15/07/2018
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 15/07/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 15/07/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 15/07/2018
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 15/07/2018
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 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); 15/07/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions 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 15/07/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions 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; 15/07/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 15/07/2018
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 15/07/2018
Services related to securities underwriting 15/07/2018
Services related to underwriting 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. 15/07/2018
Services related to money-market instruments underwriting 15/07/2018
Services related to underwriting of units in collective investment undertakings 15/07/2018
Services related to underwriting 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 15/07/2018
Services related to underwriting 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); 15/07/2018
Services related to underwriting 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 15/07/2018
Services related to underwriting 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 15/07/2018
Services related to underwriting of derivative instruments for the transfer of credit risk 15/07/2018
Services related to underwriting of financial contracts for differences 15/07/2018
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. 15/07/2018