Spanish investment firms information

Transferable securities, understanding as such any ownership right with a patrimonia content, whatever it may be called, which due to its own legal configuration and rules of transfer, is susceptible to generalised and impersonal traffic in a financial market, including the following categories of transferable securities with the exception of instruments of payment:

1. Shares in companies and other transferable securities equivalent to shares in companies, and depositary receipts representing such securities.

2. Bonds and debt securities or other forms of securitised debt, including depositary receipts representing such securities.

3. Any other transferable securities giving 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, meaning categories of instruments normally dealt on the money market, such as treasury bills and commercial papers, excluding instruments of payment.

Shares in collective investment schemes, as well as in venture capital undertakings and closed-ended collective investment schemes, as well as in European venture capital undertakings, European social entrepreneurship funds and European long-term investment funds.

Options, futures, swaps, forward rate agreements and any other derivative contracts relating to marketable securities, foreign currencies, interest rates or yields, emission allowances or other derivative instruments, financial indices or financial measures that can be settled by physical delivery or in cash.

Options, futures, swaps, forward contracts and other derivative contracts relating to commodities that must be settled in cash or that can be settled in cash at the option of one of the parties other than for reasons other than a breach or another event leading to termination of the contract.

Options, futures, swaps and other derivative contracts relating to commodities that can be settled by physical delivery, provided that they are traded on a regulated market or multilateral trading facility (MTF) or organised trading facility (OTF), except for wholesale energy products as defined in Article 2(4) of Regulation (EU) 1227/2011, which are traded on an OTF and must be settled by physical delivery.

Options, futures, swaps, forwards and any other derivatives contracts relating to commodities which can be physically settled, not otherwise mentioned in the preceding paragraph and not being for commercial purposes, which have the characteristics of other derivative financial instruments.

Derivative instruments for the transfer of credit risk.

Financial contracts for differences.

Options, futures, swaps, forward agreements 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 that can be settled in cash at the option of one of the parties other than a breach or another event lending to termination of the contract , as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this article, which have the characteristics of other derivative financial instruments, taking into account , inter alia, they are traded on a regulated market, 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.

Transferable securities, understanding as such any ownership right with a patrimonia content, whatever it may be called, which due to its own legal configuration and rules of transfer, is susceptible to generalised and impersonal traffic in a financial market, including the following categories of transferable securities with the exception of instruments of payment:

1. Shares in companies and other transferable securities equivalent to shares in companies, and depositary receipts representing such securities.

2. Bonds and debt securities or other forms of securitised debt, including depositary receipts representing such securities.

3. Any other transferable securities giving 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, meaning categories of instruments normally dealt on the money market, such as treasury bills and commercial papers, excluding instruments of payment.

Shares in collective investment schemes, as well as in venture capital undertakings and closed-ended collective investment schemes, as well as in European venture capital undertakings, European social entrepreneurship funds and European long-term investment funds.

Options, futures, swaps, forward rate agreements and any other derivative contracts relating to marketable securities, foreign currencies, interest rates or yields, emission allowances or other derivative instruments, financial indices or financial measures that can be settled by physical delivery or in cash.

Options, futures, swaps, forward contracts and other derivative contracts relating to commodities that must be settled in cash or that can be settled in cash at the option of one of the parties other than for reasons other than a breach or another event leading to termination of the contract.

Options, futures, swaps and other derivative contracts relating to commodities that can be settled by physical delivery, provided that they are traded on a regulated market or multilateral trading facility (MTF) or organised trading facility (OTF), except for wholesale energy products as defined in Article 2(4) of Regulation (EU) 1227/2011, which are traded on an OTF and must be settled by physical delivery.

Options, futures, swaps, forwards and any other derivatives contracts relating to commodities which can be physically settled, not otherwise mentioned in the preceding paragraph and not being for commercial purposes, which have the characteristics of other derivative financial instruments.

Derivative instruments for the transfer of credit risk.

Financial contracts for differences.

Options, futures, swaps, forward agreements 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 that can be settled in cash at the option of one of the parties other than a breach or another event lending to termination of the contract , as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this article, which have the characteristics of other derivative financial instruments, taking into account , inter alia, they are traded on a regulated market, 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.