Wealthsimple UK Ltd
Address:
160 Victoria Street 9th Floor, SW1E 5LBAuthorised services
|
Service
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Registration date
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|---|---|
| Reception and transmission of orders relating to securities | 15/11/2017 |
| 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. | 15/11/2017 |
| Reception and transmission of orders relating to money-market instruments | 15/11/2017 |
| Reception and transmission of orders relating to units in collective investment undertakings | 15/11/2017 |
| 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 | 15/11/2017 |
| Reception and transmission of orders relating to derivative instruments for the transfer of credit risk | 15/11/2017 |
| Execution of securities orders on behalf of clients | 15/11/2017 |
| Execution of orders on behalf of clients as to 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. | 15/11/2017 |
| Execution of money-market instruments orders on behalf of clients | 15/11/2017 |
| Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo | 15/11/2017 |
| 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 | 15/11/2017 |
| Execution of orders on behalf of clients relating to derivative instruments for the transfer of credit risk | 15/11/2017 |
| Securities portfolio management | 15/11/2017 |
| Portfolio management 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 event), and any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market or an MTF, are cleared and settled through recognised clearing houses or are subject to regular margin calls. | 15/11/2017 |
| Portfolio management of money-market instruments | 15/11/2017 |
| Portfolio management of units in collective investment undertakings | 15/11/2017 |
| 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 | 15/11/2017 |
| Portfolio management of derivative instruments for the transfer of credit risk | 15/11/2017 |
| Securities investment advice | 15/11/2017 |
| 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. | 15/11/2017 |
| Investment advice concerning money market instruments | 15/11/2017 |
| Investment advice on units in collective investment undertakings | 15/11/2017 |
| 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 | 15/11/2017 |
| Investment advice on derivative instruments for the transfer of credit risk | 15/11/2017 |
| Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management; | 15/11/2017 |
| Safekeeping and administration of financial instruments 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 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 | 15/11/2017 |
| Safekeeping and administration of money-market instruments for the account of clients, including custodianship and related services such as cash/collateral management; | 15/11/2017 |
| Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management | 15/11/2017 |
| 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; | 15/11/2017 |
| 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 | 15/11/2017 |
| 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 | 15/11/2017 |
| 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 | 15/11/2017 |
| 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 | 15/11/2017 |
| 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 | 15/11/2017 |
| 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; | 15/11/2017 |
| 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 | 15/11/2017 |
| Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings | 15/11/2017 |
| Foreign exchange services where these services are connected to the provision of investment services | 15/11/2017 |
| Investment research and financial analysis or other forms of general recommendations relating to transaction in securities | 15/11/2017 |
| 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 | 15/11/2017 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments | 15/11/2017 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings | 15/11/2017 |
| 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 | 15/11/2017 |
| Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk | 15/11/2017 |
| Services related to securities underwriting | 15/11/2017 |
| 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. | 15/11/2017 |
| Services related to money-market instruments underwriting | 15/11/2017 |
| Services related to underwriting of units in collective investment undertakings | 15/11/2017 |
| 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 | 15/11/2017 |
| Services related to underwriting of derivative instruments for the transfer of credit risk | 15/11/2017 |
| 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. | 15/11/2017 |
