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.

  • Reto Hermann Koller

    IRN RHK01015

    • CF26 Customer Trading (4 Dec 2002 to 31 Jan 2005)
    • CF21 Investment Adviser (4 Dec 2002 to 31 Jan 2005)
  • Richard Eric Farr

    IRN REF01030

    • CF1 Director (8 Sep 2008 to 6 Nov 2008)
    • CF30 Customer (11 Jan 2008 to 9 Mar 2009)
  • Rob Kitchen

    IRN RAK01041

    • CF21 Investment Adviser (6 May 2003 to 31 Jan 2004)
    • CF26 Customer Trading (6 May 2003 to 31 Jan 2004)
  • Robert Burnham Starbuck

    IRN RBS01028

    • CF28 Systems and controls (1 Nov 2007 to 31 Jul 2008)
    • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
    • CF1 Director (14 Mar 2006 to 31 Jul 2008)
    • CF14 Risk Assessment (21 Jan 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Dec 2002 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Robert Ferguson

    IRN RIF01010

    • CF30 Customer (21 Jan 2008 to 30 Apr 2012)
  • Robert Mark Ratcliffe

    IRN RMR01037

    • Responsible for Insurance Mediation (18 Sep 2008 to 14 Jun 2011)
    • CF28 Systems and controls (1 Nov 2007 to 14 Jun 2011)
    • CF8 Apportionment and Oversight (24 Sep 2005 to 31 Oct 2007)
    • CF3 Chief Executive (24 Sep 2005 to 14 Jun 2011)
    • CF15 Internal Audit (28 Feb 2003 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 13 Nov 2013)
  • Robert Martin Gillman

    IRN RMG00057

    • CF30 Customer (1 Nov 2007 to 23 Feb 2010)
    • CF28 Systems and controls (1 Nov 2007 to 23 Feb 2010)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Robert Turnbull

    IRN RXT01427

    • CF30 Customer (24 Feb 2009 to 8 Jul 2014)
  • Roy Baumann

    IRN RXB00279

    • [FCA CF] Client dealing (29 Oct 2020 to 25 May 2023)
  • Rudolf Weiss

    IRN RXW01540

    • CF28 Systems and controls (5 Aug 2009 to 31 Mar 2018)
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Recent activity

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

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