DIAPHANUM VALORES S.V., S.A.U.

Investment Firms
Nº Registro OficialFecha registro oficial
265 30/09/2016
Investment services and activities
Investment services and activitiesInstrumentsClients
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RetailProfessionalEligible counterparties
Reception and transmission of orders on behalf of clients
YesYesYesYesYesYesYesYesYes
Portfolio management
YesYesYesYesYesYesYesYes
Investment advice
YesYesYesYesYesYesYesYes
Ancillary services
Ancillary servicesInstrumentsClients
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RetailProfessionalEligible counterparties
Safekeeping and administration of financial instruments
YesYesYesYes
Advice to undertakings
YesYesYes
Foreign exchange services
YesYesYesYesYesYesYesYesYes
Investment services and activities / ancillary services for instruments not provided for under Article 2 of TRLMV (Article 142(2))
Services and activitiesInstrumentsClients
RetailProfessionalEligible counterparties
Gestión de Carteras de Entidades de Capital RiesgoParticipaciones denominadas en Euros, USD y GBP en sociedades de los sectores financieros, infraestructuras y construcción, transporte, retail consumo, salud, industrial de países OCDE.YesYes
Asesoramiento sobre Activos No FinancierosActivos no financieros (inmuebles, participacione en sociedades no cotizadas que inviertan en el sector inmobiliario, etc.).YesYesYes
Asesoramiento y recepción y transmisión de órdenesPlanes de pensiones, Entidades de Previsión Social y planes de ahorroYesYesYes
Activities entailing the extension of the business (Article 142(2) of TRLV)
ActivitiesDetailsClients
RetailProfessionalEligible counterparties
Consideración de Posiciones de activos e instrumentos financierosAgrupación de posiciones de clientes en activos e instrumentos financieros en diferentes entidades (e.g. entidades de crédito, otras empresas de servicios de inversión).YesYesYes
Mediación en la celebración de contratos de seguros de vida.Mediación en la distribución de seguros de vida-ahorro y vida-riesgo ofrecidos por Compañías de seguros con las que la SV alcance acuerdos.YesYesYes
Asesoramiento y planificación financiero-fiscalAsesoramiento y planificación financiero-fiscal incluida la búsqueda e identificación de las operaciones de financiación más adecuadas a cada caso concreto, tanto para personas físicas como jurídicas.YesYesYes
Particularities or limitations
Services and activitiesExplanations
Custodia y administración por cuenta de clientes de los instrumentos previstos en el artículo 2 del TRLMVEl servicio se restringe a la llevanza, por ceunta de sus clientes, del regsitro individualziado de titularidades finales de las participaciones en IIC que la entidad comercialice y que estén anotadas a su nombre por cuenta de clientes en una cuenta global.
Gestión de entidades de capital riesgoLos clientes objetivo de este servicio son clientes profesionales del sector financiero y contrapartes elegibles.
Instrumental accounts
DescriptionYesNo
The company holds funds in instrumental and transitional accounts in the name of its clientsYes

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

  1. 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.

  2. Money market instruments, meaning categories of instruments normally dealt on the money market, such as treasury bills and commercial papers, excluding instruments of payment.

  3. 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.

  4. 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.

  5. 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.

  6. 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.

  7. 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.

  8. Derivative instruments for the transfer of credit risk.

  9. Financial contracts for differences.

  10. 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.

  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.