CNMV - Spanish investment firms information - INDEXA CAPITAL A.V., S.A.

INDEXA CAPITAL A.V., S.A.

Investment Firms
Nº Registro Oficial	Fecha registro oficial
257	11/12/2015

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
Portfolio management
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
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 órdenes de clientes	valores no negociables. planes de pensiones individuales cuya cartera se gestione de forma automatizada utilizando IICs gestionadas por terceras entidades, cotizadas o no, y cuya politica de inversión tenga por objeto reproducir o tomar como referencia un determinado indice financiero (bursátil o de renta fija)
Gestión de carteras	Planes de pensiones individuales cuya cartera se gestione de forma automatizada utilizando IICs gestionadas por terceras entidades, cotizadas o no, y cuya politica de inversión tenga por objeto reproducir o tomar como referencia un determinado indice financiero (bursátil o de renta fija)
Asesoramiento en materia de inversión.	Valores no negociables; deuda no cotizada o derchos de cobro.

Particularities or limitations
Services and activities	Explanations
Services and activities	Explanations
Recepción y transmisión de órdenes de clientes en relación con uno o más instrumentos financieros	Este servicio se presta sobre (1) IICs gestionadas por terceras entidades y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija) (2) sobre IICs que inviertan en otras IICs de estas características (3) sobre participaciones de entidades de capital riesgo y de entidades de inversión colectiva de tipo cerrado, exclusivamente a los inversores considerados profesionales (4) sobre valores no negociables (5) sobre planes de pensiones individuales cuya cartera se gestione de forma automatizada utilizando IICs gestionadas por terceras entidades, cotizadas o no, y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija) y (6) contratos de seguro de vida (fallecimiento e invalidez) como agente exclusivo de CAJA DE SEGUROS REUNIDOS, Compañía de Seguros y Reaseguros, S.A. -CASER-.
Gestión discrecional e individualizada de carteras de inversión con arreglo a los mandatos conferidos por los clientes.	Este servicio se presta sobre (1) IICs gestionadas por terceras entidades y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija), para lo que la AV ha creado un sistema automatizado de gestión online (2) IICs de IICs cotizadas o no, y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija) para lo que la AV ha creado un sistema automatizado de gestión online (3) sobre valores no negociables y sobre instrumentos de deuda no cotizada o derechos de cobro.
Asesoramiento en materia de inversión.	Este servicio se presta sobre (1) IICs gestionadas por terceras entidades y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija), para lo que la AV ha creado un sistema automatizado de gestión online (2) IICs de IICs cotizadas o no, y cuya política de inversión tenga por objetivo reproducir o tomar como referencia un determinado índice financiero (bursátil o de renta fija) para lo que la AV ha creado un sistema automatizado de gestión online (3) sobre valores no negociables y sobre instrumentos de deuda no cotizada o derechos de cobro.
Asesoramiento a empresas sobre estructura de capital, estrategia industrial y cuestiones afines, así como el asesoramiento y demás servicios en relación con fusiones y adquisiciones de empresas.	Este servicio se presta a pequeñas y medianas empresas, con elevado potencial de crecimiento, en busca de financiación institucional, o a clientes considerados inversores profesionales en capital riesgo.

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

LIST OF FINANCIAL INSTRUMENTS IN ACCORDANCE WITH ARTICLE 3 OF SPANISH ROYAL DECREE 814/2023:

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.