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.

  • Stephen John Yandle

    IRN SXY01096

    • CF30 Customer (26 Aug 2008 to 11 Mar 2009)
  • Stuart Paul Brown

    IRN SPB01119

    • SMF3 Executive Director (9 Dec 2019 to 8 Jun 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
    • CF1 Director (18 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Aug 2002 to 31 Oct 2007)
    • CF26 Customer Trading (15 Aug 2002 to 31 Oct 2007)
  • Sumana Seeboruth

    IRN SXG01256

    • CF10 Compliance Oversight (24 Jul 2013 to 11 Feb 2016)
    • CF11 Money Laundering Reporting (24 Jul 2013 to 11 Feb 2016)
  • Susan Claire Holliday

    IRN SCH01077

    • CF1 Director (7 Jan 2014 to 18 Sep 2015)
    • CF30 Customer (13 Oct 2009 to 18 Sep 2015)
  • Susanna Margarete Trostdorf

    IRN SXT01347

    • CF30 Customer (1 Nov 2007 to 26 Aug 2009)
    • CF21 Investment Adviser (19 Sep 2007 to 31 Oct 2007)
    • CF26 Customer Trading (19 Sep 2007 to 31 Oct 2007)
  • Teresa Schorstein

    IRN TXS03906

    • [FCA CF] Client dealing (25 May 2023 to 5 Dec 2025)
  • Teresa Schorstein

    IRN TXS01965

    • CF30 Customer (24 Jun 2015 to 15 Feb 2019)
  • Thomas Edward Skwarek

    IRN TES01007

    • CF29 Significant management (1 Nov 2007 to 29 Jul 2011)
    • CF30 Customer (1 Nov 2007 to 29 Jul 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Oct 2002 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Thomas J Connor

    IRN TJC01115

    • CF14 Risk Assessment (1 Dec 2001 to 29 Jul 2002)
  • Thomas Roper Killick

    IRN TRK01011

    • CF30 Customer (1 Nov 2007 to 1 Jun 2012)
    • CF21 Investment Adviser (24 Jun 2003 to 31 Oct 2007)
    • CF26 Customer Trading (24 Jun 2003 to 31 Oct 2007)
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Recent activity

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

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