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.

  • Andrew John Welch

    IRN AJW01453

    • CF30 Customer (1 Nov 2007 to 30 Apr 2012)
    • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
    • CF26 Customer Trading (29 Oct 2007 to 31 Oct 2007)
  • Andrew Jolyon Garston

    IRN AXG01433

    • CF26 Customer Trading (7 May 2002 to 14 Mar 2005)
    • CF21 Investment Adviser (7 May 2002 to 14 Mar 2005)
  • Andrew Sheppard

    IRN AJS01289

    • CF21 Investment Adviser (6 Jun 2005 to 23 Aug 2005)
    • CF26 Customer Trading (6 Jun 2005 to 23 Aug 2005)
  • Anjum Hoda

    IRN AXH01484

    • CF30 Customer (9 Jun 2011 to 7 Aug 2013)
  • Anthony John Hamilton

    IRN AJH01315

    • CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2006)
  • Apoorva Kumudchandra Koticha

    IRN AXK01255

    • CF21 Investment Adviser (16 Aug 2002 to 7 May 2003)
    • CF26 Customer Trading (16 Aug 2002 to 7 May 2003)
  • Bahman Lashkari

    IRN BXL01211

    • CF30 Customer (14 Feb 2008 to 26 Feb 2010)
  • Bernard Candler Grigsby

    IRN BCG01019

    • CF2 Non Executive Director (24 May 2005 to 31 Dec 2005)
    • CF15 Internal Audit (1 Dec 2001 to 27 Feb 2003)
    • CF1 Director (1 Dec 2001 to 24 May 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2005)
    • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2005)
    • CF3 Chief Executive (1 Dec 2001 to 30 Jan 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 30 Jan 2004)
  • Bradford Larkin Pilcher

    IRN BLP01013

    • CF30 Customer (1 Nov 2007 to 4 Sep 2008)
    • CF26 Customer Trading (21 Sep 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (21 Sep 2006 to 31 Oct 2007)
  • Brett Townsend

    IRN BXT01063

    • CF30 Customer (1 Nov 2007 to 30 Apr 2010)
    • CF26 Customer Trading (26 Apr 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (26 Apr 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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