Swiss Re Capital Markets Limited

Date authorised
1 April 2013
Companies House
03436761
Last scraped
3 weeks ago
Watch for changes

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.

  • Mirko Frazzoni

    IRN MXF01193

    • CF30 Customer (1 Nov 2007 to 14 Mar 2008)
    • CF26 Customer Trading (30 Aug 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (30 Aug 2002 to 31 Oct 2007)
  • Nardeep Singh Sangha

    IRN NSS01026

    • CF30 Customer (6 Dec 2011 to 20 Nov 2019)
  • Naresh Manjanath

    IRN NXM01265

    • CF26 Customer Trading (4 Apr 2003 to 16 May 2006)
    • CF21 Investment Adviser (4 Apr 2003 to 16 May 2006)
  • Nicholas Ketley

    IRN NDK01008

    • CF30 Customer (28 Sep 2010 to 11 Mar 2013)
  • Nicholas Perrins Secrett

    IRN NPS01029

    • CF30 Customer (1 Nov 2007 to 10 Feb 2009)
    • CF21 Investment Adviser (23 Oct 2003 to 31 Oct 2007)
    • CF26 Customer Trading (23 Oct 2003 to 31 Oct 2007)
  • Nicholas William Berry

    IRN NWB01034

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2020)
    • CF30 Customer (28 Jul 2011 to 8 Dec 2019)
  • Niels Sebastian Slikker

    IRN NSS01024

    • CF30 Customer (1 Nov 2007 to 13 May 2009)
    • CF21 Investment Adviser (2 Aug 2006 to 31 Oct 2007)
    • CF26 Customer Trading (2 Aug 2006 to 31 Oct 2007)
  • Nils Poertner

    IRN NXP01103

    • CF30 Customer (1 Nov 2007 to 9 Feb 2009)
    • CF26 Customer Trading (12 Jan 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (12 Jan 2006 to 31 Oct 2007)
  • Noor Ul Islam

    IRN NXU01003

    • CF26 Customer Trading (23 Nov 2006 to 31 Aug 2007)
    • CF21 Investment Adviser (23 Nov 2006 to 31 Aug 2007)
  • Nuwan Goonetilleke

    IRN NXG01191

    • CF30 Customer (1 Nov 2007 to 1 Mar 2019)
    • CF21 Investment Adviser (11 Jan 2006 to 31 Oct 2007)
    • CF26 Customer Trading (11 Jan 2006 to 31 Oct 2007)
Show more

Recent activity

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

No changes recorded yet.