Braemar Securities Limited

Date authorised
1 April 2013
Companies House
07899358
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Strand
    Trafalgar Square
    London
    WC2N 5HR
    UNITED KINGDOM
    Phone
    +4402031424100
    Web
    https://braemar.com

  • Complaints Contact

    One Strand
    Trafalgar Square
    London
    WC2N 5HR
    UNITED KINGDOM
    Phone
    +4402031424100

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Investment Setup

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Specialist Trading Venue

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future)

    Show 5 limitations
    • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order. Notwithstanding MAR 5A.3.5R, this firm is also unable to engage in ‘matched principal trading’ in bonds, structured finance products, emission allowances and derivatives, and is unable to deal on own account in sovereign debt instruments for which there is not a liquid market.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.
    • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of sovereign debt instruments for which there is not a liquid market.
    • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of: i. sovereign debt instruments for which there is not a liquid market’; or ii. bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: a. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and b. the client has consented to such trading

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Recent activity

Updates to this firm's record on the FCA register.

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