Swiss Re Capital Markets Limited

Date authorised
1 April 2013
Companies House
03436761
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

  • Authorised to Operate

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

  • Arranges Investments

    For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

  • Trades With You Directly

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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

Approved individuals

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

  • Jean-Paul Beveraggi

    IRN JXB02444

    • CF30 Customer (21 May 2008 to 24 Apr 2009)
  • Jeffrey Kishor Kulkarni

    IRN JKK01013

    • CF21 Investment Adviser (19 Nov 2003 to 6 Jan 2004)
    • CF26 Customer Trading (19 Nov 2003 to 6 Jan 2004)
  • Jeffrey Scott Mack

    IRN JSM01141

    • CF2 Non Executive Director (17 Dec 2001 to 27 Mar 2002)
  • Jennifer Theodora Bagg

    IRN JTB01037

    • CF30 Customer (1 Nov 2007 to 9 Jun 2008)
    • CF21 Investment Adviser (21 May 2002 to 31 Oct 2007)
    • CF26 Customer Trading (21 May 2002 to 31 Oct 2007)
  • Jerome Patrick Marie Nollet

    IRN JXN01117

    • CF26 Customer Trading (29 Jan 2003 to 5 Aug 2003)
    • CF21 Investment Adviser (29 Jan 2003 to 5 Aug 2003)
  • John Henry Edmund Wells

    IRN JHW01057

    • CF3 Chief Executive (30 Jan 2004 to 23 Sep 2005)
    • CF8 Apportionment and Oversight (30 Jan 2004 to 23 Sep 2005)
    • CF1 Director (1 Dec 2001 to 23 Sep 2005)
    • CF26 Customer Trading (1 Dec 2001 to 23 Sep 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2005)
  • John Joseph Phillips

    IRN JJP01024

    • CF26 Customer Trading (5 Nov 2003 to 13 Nov 2004)
    • CF21 Investment Adviser (5 Nov 2003 to 13 Nov 2004)
  • John Martin Rushton-Turner

    IRN JMR01102

    • CF30 Customer (1 Nov 2007 to 28 Apr 2014)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • John Peter Cliff

    IRN JPC01080

    • CF29 Significant management (13 Aug 2008 to 3 Nov 2008)
    • CF30 Customer (13 Aug 2008 to 11 Feb 2009)
  • Jolyon David Hewer Griffiths

    IRN JDG01050

    • CF13 Finance (12 Feb 2004 to 30 Sep 2004)
    • CF1 Director (12 Feb 2004 to 30 Sep 2004)
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Recent activity

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

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