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.

  • Emerson Lee Bedford

    IRN ELB01029

    • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2004)
    • CF26 Customer Trading (1 Dec 2001 to 20 Aug 2004)
  • Emilio Giorgi

    IRN EXG01185

    • CF30 Customer (1 Nov 2007 to 17 Mar 2008)
    • CF26 Customer Trading (19 Jul 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (19 Jul 2006 to 31 Oct 2007)
  • Ernest Eng

    IRN EXE01052

    • CF26 Customer Trading (27 Aug 2004 to 5 Apr 2007)
    • CF21 Investment Adviser (27 Aug 2004 to 5 Apr 2007)
  • Fabian Johannes Sebastian Wilhelm

    IRN FJW01037

    • CF30 Customer (1 Dec 2009 to 7 Aug 2013)
  • Farhad Dehesh

    IRN FXD01042

    • CF30 Customer (1 Nov 2007 to 15 Aug 2008)
    • CF26 Customer Trading (7 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (7 Aug 2006 to 31 Oct 2007)
  • Fazal Mohammed

    IRN FXM00071

    • [FCA CF] Material risk taker (9 Dec 2019 to 18 Oct 2022)
  • Festus Adebayo Rotimi Ayodele Marinho

    IRN FAM01012

    • CF30 Customer (23 Jan 2009 to 23 Apr 2009)
  • Frank Stephen Snipes Jr

    IRN FSS01019

    • SMF3 Executive Director (9 Dec 2019 to 27 Nov 2023)
    • CF1 Director (15 Aug 2016 to 8 Dec 2019)
  • Frederic Jerome Hatt

    IRN FJH01020

    • CF26 Customer Trading (22 Jun 2005 to 20 Apr 2006)
    • CF21 Investment Adviser (22 Jun 2005 to 20 Apr 2006)
  • Fredrick Nathan Miller

    IRN FXM01258

    • CF30 Customer (25 Jul 2008 to 16 Jun 2009)
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Recent activity

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

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