| Corporate Name |
Daiwa Capital Markets Europe Limited
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| Home Country |
United Kingdom
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| Subject status | Activity ended |
| Service country | Service name |
|---|---|
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93/22
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Lisa
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SECTION A: Services
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1(a) Reception and transmission, on behalf of investors, of orders in relation to one or more of the instruments listed in Section B
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1(a) Transferable securities.
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1. Safekeeping and administration in relation to one or more of the instruments listed in Section B
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1(b) Execution of such orders other than for own account
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2. Dealing in any of the instruments listed in Section B for own account
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4. Underwriting in respect of issues of any of the instruments listed in Section B and/or the placing of such issues
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SECTION C: Non-core services
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3. Granting credits or loans to an investor to allow himto carry out a transaction in one or more of the instruments listed in Section B, where the firm granting the credit or loan is involved in the transaction.
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4. Advice to undertakings on capital structure, industrial strategy and related matters and advice and service relating to mergers and the purchase of undertakings.
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5. Services related to underwriting.
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6. Investment advice concerning one or more of the instruments listed in Section B.
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7. Foreign-exchange service where these are connected with the provision of investment services.
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SECTION B: Instruments
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1(b) Units in collective investment undertakings.
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2. Money-market instruments.
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3. Financial-futures contracts, including equivalent cash-settled instruments.
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4. Forward interest-rate agreements (FRAs).
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5. Interest-rate, currency and equity swaps.
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6. Options to acquire or dispose of any instruments falling within this section of the Annex, including equivalent cash-settled instruments. This category includes in particular options on currency and on interest rates.
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