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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

Dolfin Financial (UK) Ltd

Address:

25-28 Old Burlington Street, W1S 3AN

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 04/11/2016
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 04/11/2016
Reception and transmission of orders relating to units in collective investment undertakings 04/11/2016
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 04/11/2016
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); 04/11/2016
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 04/11/2016
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 04/11/2016
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 04/11/2016
Execution of securities orders on behalf of clients 04/11/2016
Execution of money-market instruments orders on behalf of clients 04/11/2016
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 04/11/2016
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 04/11/2016
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); 04/11/2016
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 04/11/2016
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 04/11/2016
Execution of orders on behalf of clients relating to derivative instruments for the transfer of credit risk 04/11/2016
Dealing in securities for own account 03/01/2018
Dealing for own account with regard to money market instruments 03/01/2018
Dealing in units in collective investment undertakings for own account 03/01/2018
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 03/01/2018
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); 03/01/2018
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 03/01/2018
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. 03/01/2018
Dealing in derivative instruments for the transfer of credit risk for own account 03/01/2018
Securities portfolio management 04/11/2016
Portfolio management of money-market instruments 04/11/2016
Portfolio management of units in collective investment undertakings 04/11/2016
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 04/11/2016
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); 04/11/2016
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 04/11/2016
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. 04/11/2016
Portfolio management of derivative instruments for the transfer of credit risk 04/11/2016
Securities investment advice 04/11/2016
Investment advice concerning money market instruments 04/11/2016
Investment advice on units in collective investment undertakings 04/11/2016
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 04/11/2016
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); 04/11/2016
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 04/11/2016
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 04/11/2016
Investment advice on derivative instruments for the transfer of credit risk 04/11/2016
Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management; 04/11/2016
Safekeeping and administration of money-market instruments for the account of clients, including custodianship and related services such as cash/collateral management; 04/11/2016
Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management 04/11/2016
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; 04/11/2016
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); 04/11/2016
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; 04/11/2016
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; 04/11/2016
Safekeeping and administration for the account of clients, including custodianship and related services such as cash/collateral management of derivative instruments for the transfer of credit risk 04/11/2016
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 04/11/2016
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 04/11/2016
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 04/11/2016
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 04/11/2016
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 04/11/2016
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); 04/11/2016
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 04/11/2016
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; 04/11/2016
Reception and transmission of orders relating to money-market instruments 04/11/2016