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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

Frank Investments Limited

Address:

Lansdowne House 57 Berkeley Square
W1J 6AB London

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to all financial instruments (C1 to C10) 15/12/2016
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. 15/12/2016
Portfolio management of all financial instruments (C1 to C10) 15/12/2016
Investment advice concerning all financial instruments (C1 to C10) 15/12/2016
Placing of securities without a firm commitment basis 04/09/2018
Placing without a firm commitment basis 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. 04/09/2018
Placing of money-market instruments without a firm commitment basis 04/09/2018
Placing of units in collective investment undertakings without a firm commitment basis 04/09/2018
Placing without a firm commitment basis 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 04/09/2018
Placing without a firm commitment basis 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); 04/09/2018
Placing without a firm commitment basis 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 04/09/2018
Placing without a firm commitment basis 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 04/09/2018
Placing of derivative instruments for the transfer of credit risk without a firm commitment basis 04/09/2018
Placing of financial contracts for differences without a firm commitment basis 04/09/2018
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 15/12/2016
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 04/09/2018
Investment research and financial analysis or other forms of general recommendation relating to transactions in all financial instruments (C1 to C10) 15/12/2016
Execution of all financial instruments orders on behalf of clients (C1 to C10) 15/12/2016