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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

Canaccord Genuity Financial Planning Limited

Address:

41 Lothbury, London EC2R 7AE

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 19/08/2011
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. 23/02/2015
Reception and transmission of orders relating to money-market instruments 23/02/2015
Reception and transmission of orders relating to units in collective investment undertakings 19/08/2011
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 23/02/2015
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); 23/02/2015
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 23/02/2015
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 23/02/2015
Reception and transmission of orders relating to derivative instruments for the transfer of credit risk 23/02/2015
Reception and transmission of orders relating to financial contracts for differences 23/02/2015
Execution of all financial instruments orders on behalf of clients (C1 to C10) 23/02/2015
Dealing in all financial instruments for own account (C1 to C10) 23/02/2015
Portfolio management of all financial instruments (C1 to C10) 23/02/2015
Securities investment advice 19/08/2011
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. 23/02/2015
Investment advice concerning money market instruments 23/02/2015
Investment advice on units in collective investment undertakings 19/08/2011
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 23/02/2015
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); 23/02/2015
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 23/02/2015
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 23/02/2015
Investment advice on derivative instruments for the transfer of credit risk 23/02/2015
Investment advice concerning financial contracts for diferences 23/02/2015
Underwriting and/or placing of all financial instruments on a firm commitment basis (C1 to C10) 23/02/2015
Placing of financial instruments without a firm commitment basis (C1 to C10) 23/02/2015
Operation of Multilateral Trading Facilities concerning all financial instruments (C1 to C10) 23/02/2015
Safekeeping and administration of all financial instruments for the account of clients, including custodianship and related services such as cash/collateral management (C1 to C10) 23/02/2015
Granting credits or loans to an investor to allow him to carry out a transaction in financial instruments, where the firm granting the credit or loan is involved in the transaction (C1 to C10) 23/02/2015
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 23/02/2015
Foreign exchange services where these services are connected to the provision of investment services 23/02/2015
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 19/08/2011
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 23/02/2015
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 23/02/2015
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 19/08/2011
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 23/02/2015
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); 23/02/2015
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 23/02/2015
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; 23/02/2015
Investment research and financial analysis or other forms of general recommendation relating to transactions in derivative instruments for the transfer of credit risk 23/02/2015
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 23/02/2015
Services related to underwriting of all financial instruments (C1 to C10) 23/02/2015
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. 23/02/2015