Investment firms from other member states - CNVM

NO. HOME MEMBER STATE 

COMPETENT AUTHORITY 

1 FINANCIAL SERVICES AUTHORITY – 

MAREA BRITANIE 

2. FINANCIAL SERVICES AUTHORITY – 




















NAME OF THE 

INVESTMENT FIRM 

FIRST INTERNATIONAL 

ASSET MANAGEMENT PLC 

CHEYNE CAPITAL 

MANAGEMENT (UK) LLP 

MORGAN STANLEY & CO 

INTERNATIONAL PLC 

LIST OF INVESTMENT FIRMS NOTIFICATIONS 

REGISTRY NUMBER WITH 

THE CNVM REGISTER 

PJM01FISMGBR0001 LONDRA, 5-10 BOLTON 

STREET, WIJ8BA 

PJM01FISMGBR0002 LONDRA, STORNOWAY 

HOUSE, 13 CLEVELAND 

ROW, SW1A 1DH 

PJM01FISMGBR0003 LONDRA, 125 LONDON 

WALL, EC2Y 5AS 

J.P. MORGAN PLC PJM01FISMGBR0004 LONDRA, 125 LONDON 

WALL, EC2Y 5AJ 

EUROMTS LIMITED PJM01FISMGBR0005 LONDRA, 4TH FLOOR, 30 

OLD BROAD STREET, EC2N 

1HT 

CITIGROUP GLOBAL 

MARKETS LIMITED 

HFR ASSET MANAGEMENT 

U.K., LIMITED 

PANMURE GORDON (UK) 

LIMITED 

FIRST AVENUE PARTNERS 

LLP 

STATE STREET GLOBAL 

MARKETS INTERNATIONAL 

LIMITED 

PJM01FISMGBR0006 LONDRA, CITIGROUP 

CENTRE, 33 CANADA 

SQUARE, E14 5LB 

PJM01FISMGBR0007 LONDRA, 1 CORNHILL, 

EC3V 3ND 

PJM01FISMGBR0008 LONDRA, MOORGATE 

HALL, 155 MOORGATE, 

EC2M 6 XB 

PJM01FISMGBR0009 LONDRA, FITZROY HOUSE, 

18-20 GRAFTON STREET, 

W1S 4DZ 

PJM01FISMGBR0010 LONDRA, 1 ROYAL 

EXCHANGE STEPS, ROYAL 

1 

ADDRESS CONTACT PERSON FINANCIAL 

SERVICES UNDER 

EXCHANGE, EC3V 3LL 

ODL SECURITIES LIMITED PJM01FISMGBR0011 LONDRA, THE NORTHERN 

& SHELL BUILDING, 

EIGHTH FLOOR, 10 LOWER 

STREET, EC3R 6AD 

Mr. Rupin Vadera 

rupin@first-international.co.uk 

+44 (0)20 7493 9000 

Mr. Simon James 

Simon.james@cheynecapital.com 

+44 (0)20 7031 7450 

Mr. Karen Oates 

karen.oates@chase.com 

+44 (0)20 7777 2000 

Mr. Karen Oates 

karen.oates@chase.com 

+44 (0)20 7777 2000 

Niteen Sharma 

niteen.sharma@euromts-ltd.com 

+44 (0)20 7786 6001 

Mr. Rory Flynn 

Rory.flynn@citigroup.com 

+44 (0)20 7986 4000 

Clive Charles Fleetwood Barnett 

cbarnett@hfr.com 

+44 (0)20 7743 6342 

Mr. Tom Forcier 

+44 (0)20 7614 8399 

John Donachie 

donachie99@hotmail.com 

+44 (0)20 7016 6601 

Mr. Anthony Scully 

ascully@statestreet.com 

+44 (0)20 7698 6503 

Mr. Alex Hartley 

ahartley@odls.com 

+44 (0)20 7903 6250 

LAW NO. 297/2004 

art. 5 par. (1) 

subpar.1 ident. a), b) 

and 

subpar. 2 ident. d), f) 

and g) 

art. 5 par. (1) 

subpar.1 ident. a), b), d), 

e) and 

subpar. 2 ident. g) 

art. 5 par. (1) 

subpar.1 ident. a), b), c), 

e) and 

subpar. 2 ident. a), b), 

c), d), e), f) and g) 

art. 5 par. (1) 


e) and 

subpar. 2 ident. a), c), 

d), e), f) and g) 

art. 5 par. (1) 

subpar.1 ident. a) and b) 

art. 5 par. (1) 


e) and 


c), d), e), f), g) 

art. 5 par. (1) 

subpar.1 ident. a) and 

subpar. 2 ident. f) 

art. 5 par. (1) 


e) and 


d), e), f), g) 

art. 5 par. (1) 


subpar. 2 ident. f), g) 

art. 5 par. (1) 

subpar.1 ident. c), and 

subpar. 2 ident. a), b), f) 

art. 5 par. (1) 

subpar.1 ident. b), c), d) 

and 

subpar. 2 ident. f), g)



















BEAR STEARNS ASSET 

MANAGEMENT LIMITED 

BEAR STEARNS 

INTERNATIONAL LIMITED 

PJM01FISMGBR0012 LONDRA, 45 OLD BOND 

STREET, W1S 4QT 

PJM01FISMGBR0013 LONDRA, 1 CANADA 

SQUARE, E14 5AD 

MAN INVESTMENTS LTD PJM01FISMGBR0014 LONDRA, SUGAR QUAY, 

LOWER THAMES STREET, 

BENFIELD ADVISORY 

LIMITED 

LEHMAN BROTHERS ASSET 

MANAGEMENT (EUROPE) 

LTD. 

FURNO & DEL CASTANO 

CAPITAL PARTNERS LLP 

LEHMAN BROTHERS 

EUROPE LIMITED 

LEHMAN BROTHERS 

INTERNATIONAL (EUROPE) 

NUMIS SECURITIES 

LIMITED 

21. BANCA NATIONALA A CEHIEI WOOD & COMPANY 

FINANCIAL 

SERVICES, A.S. 







GOLDMAN SACHS 

INTERNATIONAL 

NBG INTERNATIONAL 

LIMITED 

2 

EC3R 6DU 

PJM01FISMGBR0015 LONDRA, 55 BISHOPSGATE, 

EC2N 3 AS 

PJM01FISMGBR0016 LONDRA, 25 BANK STREET, 

E14 5LE 

PJM01FISMGBR0017 LONDRA, 25 BANKSTREET, 

E14 5LE 

PJM01FISMGBR0018 LONDRA, 25-30 BANK 

STREET, E14 5LE 

PJM01FISMGBR0019 LONDRA, 25 BANK STREET, 

E14 5LE 

PJM01FISMGBR0020 LONDRA, CHEAPSIDE 

HOUSE, 138 CHEAPSIDE, 

EC2V 6BJ 

PJM01FISMCZE0021 PRAGA, IC 26503808 

VACLAVSKE NAM. 772/2, 

110 00 PRAHA 1 

PJM01FISMGBR0022 LONDRA, PETERBOROUGH 

COURT, 133 FLEET STREET, 

EC4A 2BB 

PJM01FISMGBR0023 LONDRA, OLD CHANGE 

HOUSE, 128 QUEEN 

VICTORIA STREET, EC4V 

4BJ 

CBA EUROPE LTD PJM01FISMGBR0024 LONDRA, SENATOR HOUSE, 

85 QUEEN VICTORIA 

STREET, EC4V 4HA 

Ms. Nicola Constantine 

nconstantine@bear.com 

+44 (0)20 7659 5100 

Ms. Nicola Constantine 

nconstantine@bear.com 

+44 (0)20 7516 6000 

Mr. Lesleay McFadzean 

lmcfadzean@maninvestments.com 

+44 (0)20 7144 3318 

Mr. Derek McMillan 

Derek.mcmillan@benfieldgroup.co 

m 

+44 (0)20 7578 7065 

Mr. Michael Phillips 

miphilli@lehman.com 

+44 (0)20 7102 2414 

Mr. Michael Phillips 

miphilli@lehman.com 

+44 (0)20 7102 2414 

Mr. Howard Pfabe 

hpfabe@lehman.com 

+44 (0)20 7102 1235 

Mr. Howard Pfabe 

hpfabe@lehman.com 

+44 (0)20 7102 1235 

Mr. David Langshaw 

d.langshaw@numiscorp.com 

+44 (0)20 7776 1474 

Ms. Iva Sladkova 

iva.sladkova@cnb.cz 

+420 224412518 

Mr. Mark Taylor 

mark.taylor@gs.com 

+44 (0)20 7774 1000 

Mr. Simon Dodkin 

sdodkin@nbgi.co.uk 

+44 (0)20 7661 5656 

Mr. John Marshall 

john.marshall@cba.com.au 

+44 (0)20 7710 3902 

art. 5 par. (1) 


and 


art. 5 par. (1) 

subpar.1 ident. a), b), c) 

d), e) and 


c), e), f), g) 

art. 5 par. (1) 

subpar.1 ident. d) and 


art. 5 par. (1) 

subpar.1 ident. a) ,b) 

art. 5 par. (1) 

subpar.1 ident. a), b), d) 

and 


art. 5 par. (1) 


and 


art. 5 par. (1) 


and 

subpar. 2 ident. e), f) 

art. 5 par. (1) 


d), e) and 


e), f), g) 

art. 5 par. (1) 


e) and 


d), e), f), g) 

art. 5 par. (1) 


d), e) and 


d), e), f), g) 

art. 5 par. (1) 

subpar.1 and 

subpar. 2 

art. 5 par. (1) 

subpar.1 ident. a) and b) 

and subpar. 2 ident. d) 

and f) 

art. 5 par. (1) 


subpar. 2 ident. a), b), f) 

and g)







28. HELLENIC CAPITAL MARKET 

COMMISSION - GRECIA 















36. NETHERLANDS AUTHORITY FOR 

THE FINANCIAL MARKETS 



38. FINANCIAL SUPERVISION 

COMMISION (FSC) - BULGARIA 



MITSUBISHI UFJ TRUST 


SMBC DERIVATE 

PRODUCTS LTD 

SMBC CAPITAL MARKETS 

LTD 

PJM01FISMGBR0025 LONDRA, 24 LOMBARD 

STREET, EC3V 9AJ 

PJM01FISMGBR0026 LONDRA, TEMPLE COURT, 


STREET, EC4N 4TA 

PJM01FISMGBR0027 LONDRA, TEMPLE COURT, 


STREET, EC4N 4TA 

EUROXX SECURITIES S.A. PJM01FISMGRC0028 ATENA, PALEOLOGOU 7, 

CHALANDRI, 152 32 

TRADEWEB EUROPE PJM01FISMGBR0029 Londra, 99 Gresham Street, 

LIMITED 

EC2V 7NG 

AUBREY CAPITAL 


ST HELEN’S CAPITAL PLC 

SMITH & WILLIAMSON 

INVESTMENT 


BLACKROCK INVESTMENT 

MANAGEMENT (UK) 

LIMITED 

ARES MANAGEMENT 

LIMITED 

CLARIDEN LEU ASSET 

MANAGEMENT (UK) 

LIMITED 

ROBECO INSTITUTIONAL 

ASSET MANAGEMENT BV 

ROBECO SECURITIES 

LENDING BV 

DELTA STOCK INC. 

PJM01FISMGBR0030 Edinburgh, Midlothian, 7-9 

North St. David Street, EH2 

1AW 

PJM01FISMGBR0031 Londra, 15 St Helen’s Place, 

EC3A 6DE 

PJM01FISMGBR0032 Londra, 25 Moorgate, EC2R 

6AY 

PJM01FISMGBR0033 Londra, 33 King William Street, 

EC4R 9AS 

PJM01FISMGBR0034 Londra, 1 Finsbury Square, 

EC2A 1AE 

PJM01FISMGBR0035 Londra, 1st Floor, 27 

Knightsbridge, SW1X 7LY 

PJM01FISMNLD0036 Rotterdam, 120 Coolsingel, 

3011 AG 

PJM01FISMNLD0037 Rotterdam, 120 Coolsingel, 

3011 AG 

PJM01FISMBGR0038 Sofia, 6 Stefan Stambolov Str., 

1301 

NVESTA PLC PJM01FISMGBR0039 Londra, 75 Cannon Street, 

EC4N 5BN 

3 

Ms. Ffion Thomas 

fthomas@uk.tr.mufg.jp 

+44 (0)20 7929 2866 

Mr. Jonathan Avery 

avery@smbc-cm.com 

+44 (0)20 7786 1414 

Mr. Jonathan Avery 

avery@smbc-cm.com 

+44 (0)20 7786 1400 

art. 5 par. (1) 

subpar.1 ident. b) and 

subpar. 2. ident. f) 

art. 5 par. (1) 

subpar.1 ident. c) 

art. 5 par. (1) 


+302106879400 art. 5 par. (1) 

subpar.1 ident. b) 

Mr. Alexander Rutter 

art. 5 par. (1) 

alex.rutter@tradeweb.com 

+44 (0)20 7776 3200 

subpar.1 ident. a) 

Mr. Barry McCorkell 

art. 5 par. (1) 

barry.mccorkell@aubreycm.co.uk subpar.1 ident. a), b), d) 

+44 (0)131 524 9544 

and 

subpar. 2 ident. a), f) 

Ms. Janet Peyton 

art. 5 par. (1) 

janet.peyton@sthelenscapital.com subpar.1 ident. a) and 

+44 (0)20 7628 5582 


Ms. Melanie Kearney 

Melanie.kearney@smith.williamso 

n.co.uk 

+44 (0)20 7131 4000 

Mr. James Stratford 

james.stratford@blackrock.com 

+44 (0)20 7743 2253 

Mr. Miles Alexander 

alexander@aresmgmt.com 

+44 (0)20 7135 4600 

Mr. Leonard Hosking 

len.hosking@clariden.com 

+44 (0)207 8115 100 

+31-10-2242236 

+31-10-2242039 

Mr. Nikolay Nedkov 

office@deltastock.bg 

+359 2 8115050 

+359 2 8115010 

Mr. Paul Fox 

pfox@nvesta.com 

+44 (0) 845 890 8915 

art. 5 par. (1) 


e) and 


e), f), g) 

art. 5 par. (1) 


and 

subpar. 2 ident. a), d), f) 

and g) 

art. 5 par. (1) 


and 


art. 5 par. (1) 


and 

subpar. 2 ident. f) and g) 

art. 5 par. (1) 

subpar.1 ident. a), d) 

and 


art. 5 par. (1) 

subpar.1 ident. b) 

art. 5 par. (1) subpar. 1 

ident. a), b), c), d), e) 

and subpar. 2 ident. a), 

b), c), d), e), f) and g) 


ident. a), b) and subpar. 

2 ident. a), b)





42. BUNDESANSTALT 

FUR FINAZDIENSTLEISTUNG 

SAUFSICHT 

43. FINANCIAL SERVICES AUTHORITY 

MAREA BRITANIE (F.S.A) 



















OPTIONSXPRESS EUROPE PJM01FISMNLD0040 Amsterdam, Teleport Towers, 

B.V. 

Kingsfordweg 154, 1043 GR 

WALLICH & MATTHES B.V. PJM01FISMNLD0041 Amsterdam, Keizessgracht 307, 

1016 ED 

DEUTSCHE ASSET 

PJM01FISMDEU0042 Mainzer Landstraße 178-190, 

MANAGEMENT 

INTERNATIONAL GMBH 

60327 Frankfurt am Main 

GREENPARK CAPITAL 

LIMITED 

PJM01FISMGBR0044 2-5 Old Bond Street, London 

W1S 4PD 

SVS SECURITIES PLC PJM01FISMGBR0045 2 London Wall Buildings, 

London Wall, London EC2M 

5PP 

BGC BROKERS LP PJM01FISMGBR0046 One Churchilll Place Canary 

Wharf London 

E14 54RD 

PERELLA WEINBERG 

PARTNERS UK LLP 

MERRILL LYNCH, PIERCE, 

FENNER &SMITH LIMITED 

STONEHAGE INVESTMENT 

PARTNERS LLP 

HOULIHAN LOKEY 

HOWARD & ZUKIN (Europe) 

LIMITED 

TREMONT CAPITAL 


MERRILL LYNCH 

INTERNATIONAL 

CREDITEX BROKERAGE 

LLP 

PJM01FISMGBR0047 20 Grafton Street, London 

W1S 4DZ 

PJM01FISMGBR0048 Merrill Lynch Financial Centre 

2 King Edward Street, London 

EC1A 1HQ 

PJM01FISMGBR0049 21 Dartmouth Street London 

SW1H 9BP 

PJM01FISMGBR0050 83 Pall Mall 

London 

SW1Y 5ES 

PJM01FISMGBR0051 16 Berkeley Street 

London W1J 8DZ 

PJM01FISMGBR0052 Merrill Lynch Financial Centre 

2 King Edward Street, London 

EC1A 1HQ 

PJM01FISMGBR0053 3 rd Floor Paternoster House 65 

St. Paul ‘s Churchyard London 

4 

Mr. Andrew Loza art. 5 par. (1) subpar. 1 

ident. a) 

A. Faber 


ident. a), b) 

Mr. Christian Tschall 


(0 69) 71909-4727 

ident. a), b), d) and 

(0 69) 71909-4363 


Andrew French 

french@greenparkcapital.com 

+44(0)2076471400 

Tina Wishart 

twishart@svssecurities.com 

+44(0)2076385600 

Simon Rogers 

srogers@bgcpartners.com 

+44(0)2078947854 

Paulo Pereira 

ppereira@pwpartners.com 

+44(0)2072682800 

Paul Heatlie 

paul_heatlie@ml.com 

+44(0)2076281000 

Irina Spilka 

irwin.spilka@stonehage.com 

+44(0)2077993159 

John Cowan 

jcowan@hlhz.com 

+44(0)2078393355 

Richard York 

ryork@tremont.com 

+44(0)1494890777 

Paul Heatlie 

paul_heatlie@ml.com 

+44(0)2076281000 

Nickie Gray 

nickie.gray@creditex.com 

+44(0)2074293000 

+44(0)2074293003 

subpar. 1 ident. a), 


subpar. 1 ident. a) , b) 

and c) 

subpar. 2 ident. a) , b), 

c), d), f) and g) 


c) 

subpar. 2 ident. a) , f) 

and g) 

subpar. 1 ident. a) 

subpar. 2 ident. d) and 

f) 


subpar. 2 ident. d), e), 

f) and g) 





f) 

subpar. 1 ident. a) and 

d) 



c), d) and e) 


c), d), e), f) and g) 


-













59. CYPRUS SECURITIES AND 

EXCHANGE COMMISION (CSEC) 











65. FINANCIAL MARKET AUTHORITY 

AUSTRIA (FMA) 

AVENDIS INVESTMENT 

MANAGEMENT LTD 

CITY CREDIT CAPITAL 

(UK) LTD 

PJM01FISMGBR0054 53 Davies Street London 

W1K 5JH 

PJM01FISMGBR0055 20 th Floor Tower 42 

25 Old Broad Street , London 

EC2N 1HQ 

NEVSKY CAPITAL LLP PJM01FISMGBR0056 51 Berkeley Square London 

W1J 5BB 

VARDE PARTNERS EUROPE 

LTD 

PJM01FISMGBR0057 4 th Floor 14-16 Waterloo Place 

London 

SW1Y 4AR 

SUCDEN (UK ) LTD PJM01FISMGBR0058 5 London Bridge Stret 

London SE1 9 SG 

CREDIT SUISSE SECURITIES 

(EUROPE) LTD 

ATON INTERNATIONAL 

LTD 

SWISS RE CAPITAL 


BGC BROKERS LIMITED 

AK JENSEN LIMITED 

B&K SECURITIES LIMITED 

GREATER PACIFIC 

CAPITAL LLP 

RAIFFEISEN 

INTERNATIONAL FUND 

ADVISORY GMBH 

PJM01FISMGBR0059 One Cabot Square London 

E14 4QJ 

PJM01FISMCYP0060 2 Vasileos Pavlou Street Egli 

Building , 2 ND Floor, Office 

201, 1096 Nicosia Cyprus 

PJM01FISMGBR0061 30 St. Mary Axe 

London, 

EC3A 8EP 

PJM01FISMGBR0062 One Churchill Place, London, 

E14 5RD 

PJM01FISMGBR0063 1 Cornhill 

London, 

EC3V 3ND 

PJM01FISMGBR0064 1 Castle Row, Horticultural 

Place, London, 

W4 4JQ 

PJM01FISMGBR0065 77 Wimpole Street, London, 

W1G 9RU 

PJM01FISMAUT0066 Schwarzenbergplatz 3, 

A- 1030 Viena 

5 

Nicolas Marchandise 

nicolas.marchandise@avendiscapital.com 

+44(0)2071526380 

David Patten 

david@cccapital.co.uk 

+44(0)2076144600 

+44(0)2076144703 

Toby Hampden-Acton 

toby@thamesriver.co.uk 

+44(0)2073601237 

Jason Spaeth 

jspaeth@vardeeurope.com 

+44(0)2078083377 

Lanie Koppel 

lanie.koppel @sucden.co.uk 

+44(0)2079409457 

Lionel Smith 

lionel.smith@credit-suisse.com 

+44(0)2078888888 

Christos Pavlides 

pavlides@atonint.com 

+35722661114 

Williamina Dickson 

williamina_dickson@swissre.com 

+44(0)2079334070 

Simon Rogers 

srogers@bgcpartners.com 

+44(0)2078947854 

Sean Fitzgerald 

sean@akj.com 

+44(0)2077436473 

John Band 

jbzoom@gmail.com 

+44(0)2070431315 

Kevin Collett 

Kevin.collett@greaterpacificcapital 

.com 

+44(0)2079356752 

Martin Jethan 

+43-1-71170-3553 


d) and e) 

subpar. 2 ident d), e), f) 

and g) 

subpar. 1 ident. a), b) 

and c) 

- 

subpar. 1 ident. a), b), d) 

and e) 



and d) 

subpar. 2 ident. a) , d), 

and f) 

subpar. 1 ident. A) , b) 

and d) 


c), f) and g) 


c), d) and e) subpar. 2 

ident. a) , b), c), d), e), 

f) and g) 


c) and e) subpar. 2 

ident. a) , b), c), e), f) 

and g) 

subpar. 1 ident. a), b), c) 

and e) 

subpar. 2 ident. c),d),e), 

f) and g) 




b) 






f) 


subpar. 2 ident. f)



























FIXI PLC 

LONDON & OXFORD 

CAPITAL MARKETS PLC 

OCTAGON CREDIT 

INVESTORS (UK) LTD 

HYBRIDAN LLP 

PJM01FISMGBR0067 Londra, 108 Cannon Street, 

EC4N 6EU 

PJM01FISMGBR0068 Londra, 5 Fredericks’s Place, 

EC2R 8JQ 

PJM01FISMGBR0069 Londra, 1 Liverpool Street, 

EC2M 7QD 

PJM01FISMGBR0070 London, City Tower, Level 2, 40 

Basinghall Street, EC2V 5DE 

EXECUTION LIMITED PJM01FISMGBR0071 Block D, The Old Truman 

Brewery, 91 Brick Lane, E1 

6QL 

NEW EUROPE ADVISERS 

LIMITED 

SPREAD CO LIMITED 

GALILEO WEATHER RISKS 

ADVISORS LIMITED 

PJM01FISMGBR0072 Londra, 60 Lombard Street, 

EC3V 9EA 

PJM01FISMGBR0073 Middlesex, 1st Floor North 

Argyle House Joel Street, 

Northwood Hills, HA6 1LN 

PJM01FISMGBR0074 Londra, 3 Minster Court 

Mincing Lane, EC3R 7DD 

ALPARI (UK) LIMITED PJM01FISMGBR0075 Londra, 5th Floor, 41 Eastcheap, 

EC3M 1DT 

TACONIC CAPITAL 

ADVISORS UK LLP 

METEOR CAPITAL 

HOLDINGS LIMITED 

LAZARD & CO LIMITED 

HARGREAVE HALE 

LIMTED 

PJM01FISMGBR0076 Londra, 55 Grosvenor Street, 

W1K 3HY 

PJM01FISMGBR0077 Gainsborough House 

33 Throgmorton Street , London 

EC2N 2BR 

PJM01FISMGBR0078 

6 

50 Stratton Street 

London , W1J8LL 

PJM01FISMGBR0079 Marsden House 4-10 

Springfield Road Blackpool, 

Lancashire , FY11QW 

Mr. Marcus Cumberland 

Marcus.Cumberland@ 

fixi.com 

+44 (0)7870 7681 

Mr. Paul Newton 

paul.newton@ 

londonandoxford.com 

+44 (0)20 7796 9911 

Mr. Patrick Steiner 

psteiner@octagoncredit.com 

+44 (0)20 7956 2457 

Ms. Claire Berlioz 

Claire.noyce@hybridan.com 

+44 (0)20 7877 5086 

+44 (0)20 7877 5041 

Mr. Damien Devine 

damien.devine@ 

executionlimited.com 

+44 (0)20 7456 9191 

Mr. Mark Otto 

Mark@neweuropeadvisers.com 

+44 (0)203 170 8195 

Mr. John Broderick 

+44 (0)1923 832 628 

Mr. Daniel Tomlinson 

dtomlinson@ 

galileoweather. com 

+44 (0)20 7469 0035 

Dr. Andrey Vedikhin 

avedikhin@alpari.co.uk 

+44 (0)20 7648 4560 

Mr. Alexander Thomson 

athomson@taconiccap.com 

+44 (0)20 7518 2500 

Susan Valer 

svaller@meteoram.com 

+44(0)8450091805 

Dicken Watson 

dicken.watson@lazard.com 

+44(0) 2071872118 

David Clueit 

david.clueit@hargreave.com 

+44(0) 1253754739 

art. 5 par. (1) 


and 


art. 5 par. (1) 


d), e) and 

subpar. 2 ident. d), e), 

f), g) 

art. 5 par. (1) 


and 

subpar. 2 ident. d), f), g) 

art. 5 par. (1) 



art. 5 par. (1) 

subpar.1 ident. b), c), e) 

and 


art. 5 par. (1) 

subpar.1 ident. a), e) 

and 

subpar. 2 ident. d), e), f) 

art. 5 par. (1) 


art. 5 par. (1) 



art. 5 par. (1) 



art. 5 par. (1) 


and 



b) 


b) 


and e) 

subpar. 2 ident. b), d), 

e), f) and g) 

subpar. 1 ident. a), b) , 

c) and d) subpar. 2 

ident. a), b), c), d), f) 

and g)










EXCHANGE COMMISION (CSEC) 

84. FINANCIAL SUPERVISORY 

AUTHORITY OF NORWAY 



86. FINANCIAL REGULATOR RIALTOIR 

AIRGEADAIS - IRLANDA 













EVOLUTION SECURITIES 

CHINA LTD 

KING STURGE FINANCIAL 

SERVICES LIMITED 

GOLDMAN SACHS ASSET 

MANAGEMENT 

INTERNATIONAL 

FAIRWAY CAPITAL 

PARTNERS (UK) LLP 

SHARELINK SECURITIES 

AND FINANCIAL SERVICES 

LTD 

PJM01FISMGBR0080 29-30 Cornhill 

London 

EC3V 3NF 

PJM01FISMGBR0081 30 Warwick ,Street London 

W1B 5NH 

PJM01FISMGBR0082 Christchurch Court 10-15 

Newgate 

EC1A7HD 

Street London 

PJM01FISMGBR0083 415 linen Hall, 162-168 Regent 

Street, London, W1B5TE 

PJM01FISMCYP0084 Ellinas House, 6 Theotokis 

Street 1055 Nicosia, Cyprus 

PARETO SECURITIES ASA PJM01FISMNOR0085 Dronning Maudes Gate 3 , P.O. 

BOX 1411 Vika, NO-0115 Oslo 

INTEGRAL DEVELOPMENT 

CORPORATION (EUROPE) 

LTD. 

AC CAPITAL PARTNERS 

LTD. 

GSA CAPITAL PARTNERS 

LLP 

PRESTON CAPITAL 

MANAGEMENT LLP 

MITSUBISHI UFJ 

SECURITIES 

INTERNATIONAL PLC 

KOHLBERG KRAVIS 

ROBERTS & CO LIMITED 

ASHCOURT ASSET 


PJM01FISMGBR0086 30 St. Mary Axe, Floor 28, 

London, EC3A 8BF 

PJM01FISMIRL0087 19/20 City Quay Dublin 2 

Ireland 

PJM01FISMGBR0088 1 st Floor 11 Berkeley Street 

London W1J8DS 

PJM01FISMGBR0089 11 Berkeley Street, London, 

W1J8DS 

7 

Zoe Hine 

zoe.hine@evosecurities.com 

+44(0) 2070714449 

Suzanne Chase 

suzanne.chase@kingsturge.com 

+44(0) 200875430 

Sandrine Labro 

sandrine.labro@gs.com 

+44(0)2070512014 

Mr. Vishal Joyram 

vjoyram@fairway-capital.com 

+44(0)2070383855 

Tolia Apostolidou 

info@sharelink.com.cy 

+35722554000 

subpar. 1 ident. a) , b) c) 

and e) 

subpar. 2 ident. e) and 

f) 



and g) 


and d) 





d) and e) 

subpar. 2 ident. a) , d) 

e), f) and g) 

IDA DIRDAL +4722878400 subpar. 1 ident. a) , b), 

c) and e) 


Timothy Coe 

Tim.coe@integral.com 

+44(0)20 7877 0377 

Jana Becher, Managing Director 

Thomas Rost, Managing Director 

Tel: 00353 1 8974902 

Fax: 00353 1 8974933 

Melanie Firth 

Melanie.firth@gsacapital.com 

+44(0)2075958816 

Melanie Firth 

Melanie.firth@gsacapital.com 

+44(0)2075958816 

PJM01FISMGBR0090 6 Broadgate London EC2M2AA Mr Richard Pontin 

Richard.pontin@int.sc.mufg.jp 

+44(0)2076285555 

PJM01FISMGBR0091 Londra, 7 Carlton Gardens, SW 

1Y 5AD 

PJM01FISMGBR0092 West Malling, 11 Tower View, 

Kings Hill, ME 19 4UN 

INSTINET ALPHA LTD PJM01FISMGBR0093 Londra, 25 Canada Square E14 

5LB 

Mr. Dominic Patrick Murphy 

murpd@kkr.com 

+44 (0)20 7839 9800 

Ms. Angela Tucker 

angelatucker@ ashcourt.uk.com 

+44 (0)1732 520 780 

Ms. Jo Glasgow 

joanne.glasgow@ instinet.co.uk 

+44 (0)20 7154 8855 

d) e), f) and g) 


subpar. 1 ident. d) 



and d) 

subpar. 2 ident. f) and 

g) 


and d) 

subpar. 2 ident. f) and 

g) 

subpar. 1 ident. a), b), c) 

and e) 


c), d), e), f) and g) 

art. 5 par. (1) 


e) and 

subpar. 2 ident. e), f) 

art. 5 par. (1) 


and 


f), g) 

art. 5 par. (1) 


and 

subpar. 2 ident. a), f), g)
















EXCHANGE COMMISSION 











FORSYTH PARTNERS 

(EUROPE) LIMITED 

CONDUIT CAPITAL 


GOLDBOND SECURITIES 

(UK) LTD 

EUROCONSULT 

INTERNATIONAL MERGERS 

& ACQUISITIONS LIMITED 

PJM01FISMGBR0094 Londra, 39 Cornhill, EC3V 3NU Mr. Kevin James Forsyth 

Kevin.forsyth@ forsythpartners.com 

+44 (0)20 8649 9440 

PJM01FISMGBR0095 Londra, Bessborough House 17 

Cavendish Square, W1G 0PH 

PJM01FISMGBR0096 Londra, 4 Broadgate, EC2M 

2QS 

PJM01FISMGBR0097 Londra, 23 Berkeley Square, 

W1J 6HE 

INSTINET EUROPE LIMITED PJM01FISMGBR0098 Londra, 26th Floor (Accounts 

Payable) 25 Canada Square 

Canary Wharf, E14 5LB 

WELLS FARGO SECURITIES 

LIMITED 

PJM01FISMGBR0099 Londra, 25 Canada Square Level 

32, Canary Wharf, E14 5 LQ 

3I INVESTMENTS PLC PJM01FISMGBR0100 Londra, 16 Palace Street, SW1E 

5JD 

EASY FOREX TRADING 

LTD. 

JMFINN CAPITAL MARKETS 

LIMITED 

AON CAPITAL MARKETS 

LIMITED 

SAVOY INVESTMENT 


DEEPHAVEN CAPITAL 

MANAGEMENT 


ABACUS INVESTMENT 

SOLUTIONS LTD 

PJM01FISMCYP0101 1, Griva Digeni Ave., Kriel 

Court, Office 303, 

3035 Limassol 

PJM01FISMGBR0102 Londra, 4 Coleman Street, 

EC2R 5TA 

PJM01FISMGBR0103 Londra, 5th Floor, 11 

Devonshire Square, EC2M 4PL 

PJM01FISMGBR0104 Londra, 7 Hanover Square, W1S 

1HQ 

PJM01FISMGBR0105 1 st Floor 6 Gracechurch Street, 

London, EC3V0AT 

PJM01FISMGBR0106 Queen Isabelle House 

Kingsclere Park Kingsclere 

Newbury Berkshire, RG204SW 

8 

Mr. Paul Morgan 

paul.morgan@ 

conduitcapitalmarkets. 

com 

+44 (0)20 7665 1816 

Mr. Stephen Willis 

stephenwillis@ 

goldbondgroup.com 

+44 (0)20 7965 4714 

Mr. Stephen McMullan 

smcmullan@ euroconsult-inc.com 

+44 (0)20 7665 6930 

Miss. Karen McCarthy 

Karen.mccarthy@ instinet.co.uk 

+44 (0)20 7154 8400 

+44 (0)20 7154 1442 

Mr. Ken Petrilla 

petrilla@wellsfargo. com 

+44 (0)20 7138 2007 

+44 (0)20 7138 2001 

Mr. David Wood 

david.wood@3i.com 

+44 (0)20 7975 3170 

Mr. Offer Yitshak Komem 

Mr. Michalis Konnaris 

ofer@easy-forex.com 

michaelk@easy-forex.com 

tel. 0035725828899 

MarkTubby 

mtubby@finncapitalmarkets.com 

+44 (0)20 7628 9688 

Alan Punter 

alan.punter@aon.co.uk 

+44 (0)20 7623 5500 

Sarah Stuart 

sstuart@savoyim.com 

+44 (0)20 7659 8000 

James Feast 

jfeast@deephavenfunds.com 

+44(0)2074691901 

Mr Andrew Davies 

Andrew.davies@abacuscover.com 

+44(0)1635299591 

art. 5 par. (1) 


and 


art. 5 par. (1) 


and 


art. 5 par. (1) 



art. 5 par. (1) 



art. 5 par. (1) 


and 


art. 5 par. (1) 

subpar.1 ident. a) 

art. 5 par. (1) 


and 

subpar. 2 ident. a), c), f), 

g) 

art. 5 par. (1) 

subpar.1 ident. a), c), 

subpar.2 ident. c), g) 


ident. a), b), e) and 

subpar. 2 ident. a), d), 

e), f), g) 


ident. a), e) and 

subpar. 2 ident. a), d), 

e), f), g) 








ident. a), b) and subpar. 

2 ident. a), b), f)













112 THE FINANCIAL SUPERVISORY 

AUTHORITY NORVEGIA 



114 FINANCIAL SUPERVISION 

COMMISSION - BULGARIA 













LIQUIDITYHUB LIMITED PJM01FISMGBR0107 Room 226 

1 Liverpool Street London 

EC2M7QD 

COMPUTERSHARE 

INVESTOR SERVICES PLC. 

CALKIN PATTINSON & 

COMPANY LIMITED 

TRINITY GROUP LIMITED 

PJM01FISMGBR0108 The Pavilions Bridgwater Road, 

Bristol, Somerset BS99 7NH 

9 

Angela Sutton 

angela@liquidityhub.com 

+44(0)2079562734 

Lorraine Tromans 

+44 (0)870 7036232 

PJM01FISMGBR0109 Londra, 40 Piccadilly, W1J 0HR Josie Bond 

+44 (0)20 7734 2176 

PJM01FISMGBR0110 Londra, 22 Upper Grosvenor 

Street, W1K 7PE 

T & M SECURITIES LIMITED PJM01FISMGBR0111 Londra, 2 Broadgate, EC2M 

7UR 

ICAP HYDE DERIVATIVES 

LIMITED 

PJM01FISMGBR0112 Londra, 2 Broadgate, EC2M 

7UR 

ARCTIC SECURITIES ASA PJM01FISMNOR0113 Haakon VIIs gate 6, 0161 Oslo, 

Norway 

PARK HILL REAL ESTATE 

GROUP 

PJM01FISMGBR0114 40 Berkeley Square, London, 

W1J 5AL 

EURO-FINANCE LTD. PJM01FISMBGR0115 84 Patriarch Evtimii Blvd. 1301 

Sofia, Bulgaria 

THE SHARE CENTRE 

LIMITED 

SHINSEI INTERNATIONAL 

LIMITED 

WACHOVIA SECURITIES 


THAMES RIVER MULTI- 

CAPITAL LLP 

WESTWIND PARTNERS (UK) 

LTD 

PJM01FISMGBR0116 Oxford House, Oxford Road, 

Aylesbury, Buckinghamshire 

HP21 8ZB 

PJM01FISMGBR0117 3 St James's Square 

London 

SW1Y 4JU 

PJM01FISMGBR0118 1 Plantation Place, 30 

Frenchurch Street, London 

EC3M 3BD 

PJM01FISMGBR0119 51 Berkeley Square, London, 

W1J 5BB 

PJM01FISMGBR0120 7th Floor, 17 Old Park Lane, 

London, 

W1K 1QT 

IBS SECURITIES LIMITED PJM01FISMGBR0121 Devlin House 

26 St. George Street, Mayfair, 

London, 

W1S 2FW 

Edward Frazer 

+44 (0)20 7491 7555 

Steven Woolley 

steven.woolley@icap.com 

+44 (0)20 7000 5000 

Steven Woolley 

steven.woolley@icap.com 

+44 (0)20 7000 5000 

Mads H. Syversen 

Tel: 4721013100 

Mr. Simon Millerchip 

millerchip@blackstone.com 

+44(0)2074514000 

Simeon Petkov 

contact@euro-fin.com 

www.euro-fin.com 

tel: /+3592/980 56 57 

fax: /+3592/981 14 96 

Mr. Iain Wallence 

iain.wallence@share.co.uk 

+44(0)2001296439410 

Mr. Simon Crowley 

simon.crowley@shinseiinternationa 

l.com 

+44(0)2077473510 

Mr. Trevor Andrews 

Trevor.andrews@wachovia.com 

+44(0)2071498123 

Mr. Toby Hampden-Acton 

toby@thamesriver.co.uk 

+44(0)2073601237 

Westwind Partners (Uk) Ltd 

pnewman@westwindeurope 

+44(0)2072909700 

Mr. Ian Parker 

+44(0)1491612935 


ident. a) 

art. 5 par .(1) pct. 1 

ident. a), b) şi subpar. 2 

ident. a), b), g) 

art. 5 par .(1) subpar. 1 

ident. a), b) şi subpar. 2 

ident. a), f) 


ident. a) si subpar. 2 

ident. f) 


ident. a), b), c) şi 



ident. a) şi subpar. 2 

ident. f) 

art. 5 par (1) subpar. 1 

ident. a), b), c), e) si 


d), e), f), g) 



ident. f) 


ident. a), b), c), d), e) si 


c), d), e), f), g) 


ident. a), b) si subpar. 2 

ident. b), f) 



subpar. 2 ident. a), e), f) 



subpar. 2 ident. c), d), 

e), f), g) 


ident. a), b), d), e) si 



ident. a), b), c) si 




ident. d), f)





















131 THE FINANCIAL SUPERVISORY 

AUTHORITY NORVEGIA 

ICAP ELECTRONIC 

BROKING LIMITED 

PJM01FISMGBR0122 2 Broadgate, London, 

EC2M7UR 

ICAP EUROPE LIMITED PJM01FISMGBR0123 2 Broadgate, London, 

EC2M7UR 

ICAP SECURITIES LIMITED PJM01FISMGBR0124 2 Broadgate, London, 

EC2M7UR 

BRIDGE HALL 

STOCKBROKERS LIMITED 

PJM01FISMGBR0125 Fairbank House 27-29 Ashley 

Road Altrincham Cheshire 

WA14 2DP 

BARCLAYS SHAREDEPARG PJM01FISMGBR0126 Barclays Private Clients 

Compliance 

UK Broking and Operations Tay 

House 

300 Bath Street Glasgow 

G2 4 LH 

FISKE PLC. PJM01FISMGBR0127 Salisbury House 

London Wall London 

EC2M5QS 

EQUINITI FINANCIAL 

SERVICES LIMITED 

NYFIX INTERNATIONAL 

LIMITED 

PJM01FISMGBR0128 Highdown House Yeoman Way 

Worthing West Sussex 

BN133RA 

PJM01FISMGBR0129 160 Quenn Victoria Street 

London EC4V4BF 

SAFINVEST PJM01FISMGBR0130 Berkeley Square House, 

Berkeley Square London 

W1J6BL 

LANDSBANKI SECURITIES 

(UK) LIMITED 

ABERDEEN PROPERTY 

INVESTORS CORPORATE 

ASA 

PJM01FISMGBR0131 Beaufort House 15 St. Botolph 

Street London EC3A7QR 

PJM01FISMNOR0132 Postboks 1228, 0110 Oslo, 

Norway 

10 

Mr. Steven Wooley 

steven.wooley@icap.com 

+44(0)2070005000 



+44(0)2070005000 



+44(0)2070005000 

Mr. Daniel Lynch 

dlynch@bridgehall.co.uk 

+44(0)08451307720 

Shan Towle 

+44(0)2071149469 

Mr. Gerard Luchini 

gerard.luchini@fiskeplc.com 

+44(0)2074484700 

Mr. Gavin Downs 

gavin.downs@lloydsTSB- 

Registrars.co.uk 

+44(0)1903833888 

Paul Kelly 

+44(0)2076345350 

Charlotte Thorne 

+44(0)2075431500 

Nicola Mitford-Slade 

+44(0)2074263213 

Finn Lundstedt 

Tel: (+47) 22012700 


ident. b) 



ident. f) 



subpar. 2 ident. a), b) f) 


ident. a) , b) si subpar. 2 

ident. f), g) 


ident. a) , b) si subpar. 

2 ident. a), f), g) 


ident. a), b), c), d), e) si 


d), e), f), g) 



ident. a), b) 






ident. d), f) 


ident. a), b), c) , e) si 


d), e), f), g) 


ident. a), b), e) si 

subpar. 2 ident. e)

Investment firms from other member states - CNVM

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