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.

  • Pascal Philipp Koller

    IRN PPK01009

    • CF21 Investment Adviser (18 Jul 2006 to 2 Jul 2007)
    • CF26 Customer Trading (18 Jul 2006 to 2 Jul 2007)
  • Patrick Charles Fitzgibbon Shone

    IRN PCS01050

    • CF26 Customer Trading (1 Dec 2001 to 15 Sep 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Sep 2003)
  • Patrick Roder

    IRN PXR01880

    • CF30 Customer (21 Jan 2017 to 22 Jun 2017)
  • Paul Andrew Cannon

    IRN PAC01320

    • CF28 Systems and controls (23 Feb 2010 to 22 Feb 2017)
  • Paul Andrew Whitaker

    IRN PAW01196

    • CF30 Customer (1 Nov 2007 to 31 Dec 2014)
    • CF26 Customer Trading (29 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (29 Aug 2006 to 31 Oct 2007)
  • Paul Douglas Betts

    IRN PDB01099

    • CF26 Customer Trading (13 Nov 2003 to 18 Mar 2005)
    • CF21 Investment Adviser (13 Nov 2003 to 18 Mar 2005)
  • Paul Franklin York

    IRN PFY01001

    • CF26 Customer Trading (1 Dec 2001 to 22 Mar 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)
  • Paul Frost-Smith

    IRN PXF01248

    • CF30 Customer (8 Oct 2008 to 30 Sep 2009)
  • Paul Richard Robinson

    IRN PRR01033

    • CF30 Customer (1 Nov 2007 to 15 Jun 2018)
    • CF21 Investment Adviser (8 Jan 2004 to 31 Oct 2007)
    • CF26 Customer Trading (8 Jan 2004 to 31 Oct 2007)
  • Peter Kisler

    IRN PXK01105

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF26 Customer Trading (24 Mar 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (24 Mar 2006 to 31 Oct 2007)
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Recent activity

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

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