UNICORP PATRIMONIO, SOCIEDAD DE VALORES, S.A.

Investment Firms
Nº Registro OficialFecha registro oficial
216 07/09/2005
Investment services and activities
Investment services and activitiesInstrumentsClients
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RetailProfessionalEligible counterparties
Reception and transmission of orders on behalf of clients
YesYesYesYesYesYesYesYes
Execution of orders on behalf of clients
YesYesYesYesYesYesYesYes
Dealing on own account
YesYesYesYesYesYesYesYes
Portfolio management
YesYesYesYesYesYesYesYes
Placement of financial instruments
YesYesYesYesYesYesYesYes
Underwriting of financial instruments
YesYesYesYesYesYesYesYes
Investment advice
YesYesYesYesYesYesYesYes
Ancillary services
Ancillary servicesInstrumentsClients
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RetailProfessionalEligible counterparties
Safekeeping and administration of financial instruments
YesYesYesYesYesYes
Advice to undertakings
YesYesYes
Services related to underwriting
YesYesYesYesYesYesYesYes
Foreign exchange services
YesYesYesYesYesYesYesYes
Investment services and activities / ancillary services for instruments not provided for under Article 2 of TRLMV (Article 142(2))
Services and activitiesInstrumentsClients
RetailProfessionalEligible counterparties
Asesoramiento, intermediación o gestión de patrimonios.instrumentos no contemplados en el artículo 2 la LMV, especialemente con productos de seguros de ahorro y capitalización, y planes de pensionesYesYesYes
Particularities or limitations
Services and activitiesExplanations
Negociación por cuenta propiaEl servicio de negociacion por cuenta propia se presta con el objetivo exclusivo de ejecutar órdenes de clientes, limitándose a dar contrapartida a clientes respecto de operaciones sobre instrumentos objeto del programa.
Custodia y administración por cuenta de clientes de los instrumentos previstos en el artículo 2 de la Ley 24/1988 del Mercado de ValoresEl servicio de custodia se restringe a la llevanza, por cuenta de sus clientes, del registro individualizado de titularidades finales de las participaciones de IIC que la entidad comercialice y que estén anotadas a su nombre por cuenta de clientes en una cuenta global.
Instrumental accounts
DescriptionYesNo
The company holds funds in instrumental and transitional accounts in the name of its clientsYes

ANNEX TRLMV

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

  1. 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.

  2. 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.

  3. Units and shares in collective investment schemes, as well as in venture capital undertakings and closed-ended collective investment schemes.

  4. 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.

  5. 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.

  6. 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.

  7. 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.

  8. Derivative instruments for the transfer of credit risk.

  9. Financial contracts for differences.

  10. 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.

  11. 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.