Swiss Re Capital Markets Limited

• Principal Place of Business

  Swiss Re Capital Markets Ltd

  30 St. Mary Axe

  London

  EC3A 8EP

  UNITED KINGDOM

  Phone

  +4402079333000

  Web

  https://www.swissre.com/our-business/alternative-capital-partners.html

• Complaints Contact

  Swiss Re Capital Markets Ltd

  30 St. Mary Axe

  London

  City Of London

  EC3A 8EP

  UNITED KINGDOM

  Phone

  +442079333000

• 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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 Hide limitations

  • · 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.

• Brian Keith Weatherholtz

  IRN BKW01007

  • CF30 Customer (1 Nov 2007 to 31 May 2009)
  • CF26 Customer Trading (6 Jul 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Jul 2004 to 31 Oct 2007)
• Brian Robert Fenton

  IRN BRF01017

  • CF30 Customer (27 Nov 2009 to 21 Dec 2011)
• Cameron Wade Parker

  IRN CWP01018

  • CF29 Significant management (2 Aug 2011 to 31 Oct 2015)
  • CF30 Customer (1 Nov 2007 to 27 Nov 2009)
  • CF21 Investment Adviser (19 Nov 2003 to 31 Oct 2007)
  • CF26 Customer Trading (19 Nov 2003 to 31 Oct 2007)
• Carl Owen Moxley

  IRN COM01012

  • CF30 Customer (10 Oct 2008 to 29 Sep 2009)
• Carlos Otte Blazquez

  IRN CXO00234

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Feb 2025)
  • SMF16 Compliance Oversight (since 13 Feb 2025)
• Caroline Mary Rachael Beer

  IRN CMB01111

  • CF1 Director (16 May 2003 to 1 Jan 2004)
  • CF13 Finance (1 Dec 2001 to 1 Jan 2004)
• Charles McRae Mixon III

  IRN CXM02480

  • [FCA CF] Material risk taker (since 15 Sep 2025)
  • [FCA CF] Client dealing (since 15 Sep 2025)
• Chi Hong Hum

  IRN CHH01018

  • CF26 Customer Trading (1 Dec 2001 to 31 May 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 May 2006)
• Christian Bragazzi

  IRN CXB01782

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2020)
  • CF30 Customer (11 Aug 2009 to 8 Dec 2019)
• Christian Wertli

  IRN CXW01200

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.