CNMV - Spanish investment firms information - TRESSIS, SOCIEDAD DE VALORES, S.A.

TRESSIS, SOCIEDAD DE VALORES, S.A.

Investment Firms
Nº Registro Oficial	Fecha registro oficial
183	15/12/2000

Investment services and activities
Investment services and activities	Instruments											Clients
Investment services and activities	a	b	c	d	e	f	g	h	i	j	k	Retail	Professional	Eligible counterparties
Reception and transmission of orders on behalf of clients
Execution of orders on behalf of clients
Dealing on own account
Portfolio management
Placement of financial instruments
Investment advice

Ancillary services
Ancillary services	Instruments											Clients
Ancillary services	a	b	c	d	e	f	g	h	i	j	k	Retail	Professional	Eligible counterparties
Safekeeping and administration of financial instruments
Granting of credit or loans to an investor
Advice to undertakings
Preparation of investment research and financial analysis

Investment services and activities / ancillary services for instruments not provided for under Article 2 of TRLMV (Article 142(2))
Services and activities	Instruments	Clients
Services and activities	Instruments	Retail	Professional	Eligible counterparties
Recepción y transmisión de `´ordenes por cuenta de terceros	Planes de pensiones y seguros de vida
Asesoramiento sobre inversiones. Gestión de patrimonios. Otros	Sociedades y fondos de caìtal riesgo y activos inmobiliarios

Activities entailing the extension of the business (Article 142(2) of TRLV)
Activities	Details	Clients
Activities	Details	Retail	Professional	Eligible counterparties
Colaboración con entidades de crédito	Puesta en contacto con entidades de crédito con la finalidad de facilitar el acceso a productos y servicios bancarios de financiación
Planificación financiera	Elaboración de informes financieros para la consecución de objetivos vitales, jubilación o retiro profesional
Colaboración con plataformas de financiación participativa	Puesta en contacto con las plataformas de financiación participativa
Colaboración con promotores u oferentes de determinados instrumentos de inversión o productos financieros.Puesta en contacto de clientes de Tressis con promotores, intermediarios u oferentes o puesta en contacto de promotores u oferentes, que serán los clientes de Tressis a estos efectos, con potenciales inversores o intermediarios, en relación con:	(i) activos inmobiliarios incluyendo, sin limitación, la inversión en residencias de estudiantes o de la 3ª edad, establecimientos hoteleros, promociones urbanísticas, infraestructuras, inmuebles de naturaleza urbana o rústica, activos inmobiliarios relacionados con las energías renovables (parques solares o eólicos, plantas de generación de hidrógeno, etc.) o actividades logísticas (bien directamente o a través de sociedades) y
Colaboración con promotores u oferentes de determinados instrumentos de inversión o productos financieros.Puesta en contacto de clientes de Tressis con promotores, intermediarios u oferentes o puesta en contacto de promotores u oferentes, que serán los clientes de Tressis a estos efectos, con potenciales inversores o intermediarios, en relación con:	(ii) productos financieros relativos a la concesión de financiación a terceros (incluyendo, sin limitación, la concesión de financiación a productores cinematográficos y audiovisuales o productores y exhibidores de espectáculos en vivo); la inversión en fondos propios o adquisición de participaciones o cuotas de participación en entidades dedicadas a la producción cinematográfica y audiovisual, la producción y exhibición de espectáculos en vivo o actividades de investigación y desarrollo e innovación tecnológica.

Particularities or limitations
Services and activities	Explanations
Services and activities	Explanations
Ejecución de órdenes por cuenta de clientes	El servicio se limita a la interposición de la cuenta propia de la Entidad cuando ejecuta órdenes de clientes vinculadas a operaciones de renta fija.

Instrumental accounts
Description	Yes	No
The company holds funds in instrumental and transitional accounts in the name of its clients

ANNEX TRLMV

Financial instruments under the scope of the recast test of the Spanish Securities Market Act

Transferable securities mean any right in equity, irrespective of its name, whose own legal status and the rules governing their transfer make them eligible for general, arm’s length trading in a financial market, including the following classes of securities, with the exception of instruments of payment:
1º Shares in companies and other securities equivalent to shares in companies, and depositary receipts.
2º Bonds and other forms of securitised debt, including depositary receipts in respect of such securities.
For the purposes of the provisions of this act, depositary receipts mean those securities which are negotiable on the capital market and which represent ownership of the securities of a non-domiciled issuer, which may be admitted to trading on a regulated market and traded independently of the securities of the non-domiciled issuer.
3º Any other securities granting the right to acquire or sell such transferable securities or giving rise to a cash settlement determined by reference to transferable securities, currencies, interest rates or yields, commodities or other indices or arrangements.
Money-market instruments mean those classes of instruments which are normally traded on the money market, such as treasury bills and commercial paper, excluding instruments of payment.
Units and shares in collective investment schemes, as well as in venture capital undertakings and closed-ended collective investment schemes.
Options, futures, swaps, forward rate agreements and any other derivatives contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivative instruments, financial indices or financial arrangements that can be settled by physical delivery or in cash.
Options, futures, swaps, forwards and any other derivatives contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
Options, futures, swaps, forwards and any other derivatives contracts relating to commodities, which can be physically settled and are not mentioned in the preceding paragraph and are not used for commercial purposes, which have the characteristics of other financial derivative instruments.
Options, futures, swaps, forwards and any other derivatives contracts relating to commodities, which can be physically settled and are not mentioned in the preceding paragraph and are not used for commercial purposes, which have the characteristics of other financial derivative instruments.
Derivative instruments for the transfer of credit risk.
Financial contracts for differences.
Options, futures, swaps, forwards and any other derivatives contracts relating to climatic variables, freight rates or inflation rates or other official economic statistics, which must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivatives contract relating to assets, rights, obligations, indices and arrangements not mentioned in this Annex, which have the characteristics of other financial derivative instruments, bearing in mind, inter alia, whether they are traded on a regulated market, an OTF or MTF.
Emission allowances consisting of any units recognised for compliance with the requirements of Directive 2003/87/EC of the European Parliament and of the Council, of 13 October 2003, establishing a scheme for greenhouse gas emission allowance trading within the Community, and amending Council Directive 96/61/EC.