Registration and supervision.
Pensum Asset Management is under supervision by the supervisory authorities of Luxembourg (Commission de Surveillance du Secteur de Financier – CSSF), Sweden (Finansinspektionen) and Norway (Finanstilsynet).
Investment Services, VPHL. § 2-1 (1) – NUF
- No. 1 reception and transmission of orders on behalf of clients in connection with one or more financial instruments as defined in § 2-2.
- No. 2 execution of orders on behalf of clients.
- No. 4 active management of investors’ portfolios of financial instruments on an individual basis and authorized by the investor.
- No. 5 investment advice as defined in § 2-4 first paragraph.
Associated services, VPHL. § 2-1 (2) – NUF
- No. 1 storage and management of financial instruments.
- No. 2 credit.
- No. 3 advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and acquisitions.
- No. 4 services related to foreign exchange operations when these take place in connection with the provision of investment services as defined in the first paragraph.
- No. 5 preparation and dissemination of investment recommendations, financial analyzes and other forms of general recommendations relating to transactions in financial instruments.
- No. 7 services relating to underlying commodity derivatives and derivatives as defined in § 2-2 subsection. 5, when these services are linked to investment or ancillary services mentioned in this provision.
Nominee (nominee) Norwegian owner registries
The license authorizes the following:
- Equities (incl. PCCs and foreign equities), Public Limited Companies Act § 4-10 and the Securities Register Act § 03.06
- Shares in Norwegian mutual funds, mutual fund regulations § 13-2, cf. Securities Trading Act § 4-10, and the Securities Register Act § 6-3
- Other Financial instruments (excluding shares and Norwegian mutual funds), Securities Registry Act § 6-3
- Receipt and transmission of orders in relation to financial instruments
- Foreign exchange services in connection with investment services
- Investment Advice
- Safekeeping of financial instruments for the client as well as cash
- Coaching and advice and services relating to mergers & acquisitions
- Investment Service mm for embedded derivatives in investment services
- Execution of orders on behalf of clients
- Payment of credit to the inhabitants of transactions in financial instruments
- Investment research and financial analysis & gen recom financial instruments
Click here to read more about Pensum Asset Management at the FSA. (Swedish)
- Pensum insurance mediation
- Non-life insurance in all classes (indirectly)
- Mediation of fund units, insurance agents / brokers
- Insurance of all life insurance classes (direct) insurance mediation.
- Insurance in all life insurance classes (indirectly)
- Investment advice about mutual funds, insurance brokers
- Insurance of all life insurance classes (directly o indirectly)
- Insurance in all non-life insurance classes (directly o indirectly)
- Insurance in all non-life insurance classes (direct)
- Cross-border trade
Click here to read more about Pensum AB at the FSA. (Swedish)
Pensum Corporate Finance, 556th