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.

  • Simon Henry Kenner

    IRN SHK01012

    • CF26 Customer Trading (1 Dec 2001 to 31 Aug 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2004)
  • Simon Nicholas Taylor

    IRN SNT01005

    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2025)
    • CF11 Money Laundering Reporting (7 Mar 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Mar 2016 to 8 Dec 2019)
  • Simon Richard Hansford

    IRN SRH01092

    • CF30 Customer (1 Nov 2007 to 8 Apr 2013)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Slawomir Bembenik

    IRN SXB02647

    • CF30 Customer (17 May 2012 to 7 Aug 2013)
  • Sofia Zoidou

    IRN SXZ01044

    • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
    • CF21 Investment Adviser (28 Feb 2006 to 31 Oct 2007)
    • CF26 Customer Trading (28 Feb 2006 to 31 Oct 2007)
  • Stefano Sola

    IRN SXS01338

    • CF30 Customer (1 Nov 2007 to 28 Aug 2009)
    • CF26 Customer Trading (18 Nov 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (18 Nov 2005 to 31 Oct 2007)
  • Stephane Licht

    IRN SXL00605

    • [FCA CF] Material risk taker (24 May 2023 to 19 Dec 2023)
  • Stephen Couttie

    IRN SXC01268

    • CF1 Director (2 Jan 2004 to 5 May 2004)
  • Stephen Edward Rubens

    IRN SER01018

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
    • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2004)
  • Stephen Hjorring

    IRN SXH01778

    • SMF1 Chief Executive (9 Dec 2019 to 22 Jun 2022)
    • SMF3 Executive Director (9 Dec 2019 to 24 Apr 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Dec 2019)
    • Responsible for Insurance Mediation (21 Jun 2011 to 30 Sep 2018)
    • CF3 Chief Executive (21 Jun 2011 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF13 Finance (3 May 2006 to 31 Oct 2007)
    • CF1 Director (3 May 2006 to 8 Dec 2019)
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Recent activity

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

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