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.

  • Rupert Wimmer

    IRN RXW01687

    • CF30 Customer (30 Jul 2014 to 30 Nov 2016)
  • Ryan McRandal

    IRN RXM01639

    • CF21 Investment Adviser (26 Apr 2005 to 2 Aug 2005)
    • CF26 Customer Trading (26 Apr 2005 to 2 Aug 2005)
  • Samuel McIntyre Alexander

    IRN SMA01031

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
    • CF26 Customer Trading (1 Dec 2001 to 31 Jul 2002)
  • Sarah Virginia Kelt

    IRN SVK00005

    • CF26 Customer Trading (17 Mar 2004 to 17 Jun 2005)
    • CF21 Investment Adviser (17 Mar 2004 to 17 Jun 2005)
  • Scott McIntosh

    IRN SXM02605

    • CF29 Significant management (12 Jan 2011 to 31 May 2011)
  • Sean Edward Andrews

    IRN SEA01039

    • CF30 Customer (13 Oct 2010 to 28 Feb 2013)
  • Sean Martin Byrne

    IRN SMB01299

    • CF30 Customer (10 Dec 2012 to 7 Aug 2013)
  • Sheree Denise Whatley

    IRN SDW01055

    • CF21 Investment Adviser (1 Dec 2001 to 4 Feb 2002)
    • CF13 Finance (1 Dec 2001 to 4 Feb 2002)
  • Shirley Lenore Beglinger

    IRN SLB01066

    • CF21 Investment Adviser (1 Dec 2001 to 16 Oct 2004)
    • CF26 Customer Trading (1 Dec 2001 to 16 Oct 2004)
  • Simon Einar Long

    IRN SEL01071

    • CF21 Investment Adviser (3 Jun 2005 to 1 Jun 2007)
    • CF26 Customer Trading (3 Jun 2005 to 1 Jun 2007)
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Recent activity

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

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