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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 Management LLP

Address:

25 Moorgate. London, EC2R 6AY

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 04/07/2014
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 04/07/2014
Reception and transmission of orders relating to units in collective investment undertakings 04/07/2014
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 04/07/2014
Reception and transmission of orders relating to financial contracts for differences 04/07/2014
Execution of securities orders on behalf of clients 04/07/2014
Execution of money-market instruments orders on behalf of clients 04/07/2014
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 04/07/2014
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 04/07/2014
Execution of orders on behalf of clients relating to financial contracts for differences 04/07/2014
Securities portfolio management 04/07/2014
Portfolio management of money-market instruments 04/07/2014
Portfolio management of units in collective investment undertakings 04/07/2014
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 04/07/2014
Portfolio management of financial contracts for differences 04/07/2014
Securities investment advice 04/07/2014
Investment advice concerning money market instruments 04/07/2014
Investment advice on units in collective investment undertakings 04/07/2014
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 04/07/2014
Investment advice concerning financial contracts for diferences 04/07/2014
Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management; 04/07/2014
Safekeeping and administration of money-market instruments for the account of clients, including custodianship and related services such as cash/collateral management; 04/07/2014
Safekeeping and administration of units in collective investment undertakings for the account of clients, including custodianship and related services such as cash/collateral management 04/07/2014
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; 04/07/2014
Safekeeping and administration of financial contracts for differences for the account of clients, including custodianship and related services such as cash/collateral management 04/07/2014
Foreign exchange services where these services are connected to the provision of investment services 04/07/2014
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 04/07/2014
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 04/07/2014
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 04/07/2014
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 04/07/2014
Reception and transmission of orders relating to money-market instruments 04/07/2014