| Date | Individual/Entity | Registration type | Description |
|---|
| 12/12/2013 | OMIP | Subsequent registration | Record the following entry in the register of OMIP, pursuant to
Article 209/2 of the Securities Code and Article 9 of CMVM Regulation
No. 3/2007, subsequent registration of the following rules:
i) OMIP Circular 1/2013 – Financial Capacity Rights on Interconnection between Portugal and Spain (new rule);
ii) Trading Regulation (amended rule); and
iii)
OMIP Notice 06/2006 - Rules for Determining Electricity Indices
(amended rule), and also the OMIClear Circular B15/2013 – Particular
Conditions of FTR Contracts |
| 22/11/2013 | Dr. Sandra Utsumi - Banco Espírito Santo de Investimento, SA | Subsequent registration | Record the following entry in the register for pursuing the activity
of financial analysis set out in Article 12-A of the Portuguese
Securities Code pursuant to Article 10/2/c) of CMVM Regulation No.
2/2007 |
| 14/11/2013 | Grow Investimentos - Gestão de Patrimónios, SA | Cancellation | Cancel registration as financial intermediary |
| 08/11/2013 | Dr. Miguel Borrega - Banco Espírito Santo de Investimento, S.A. | Subsequent registration | Record the following entry in the register for pursuing the activity
of financial analysis set out in Article 12-A of the Portuguese
Securities Code pursuant to Article 10/2/c) of CMVM Regulation No.
2/2007 |
| 30/10/2013 | OMIClear | Subsequent registration | Approve subsequent registration of amendments to Articles 4, 10, 14
and 17 of the Company's Articles of Association as approved by the
General Meeting, at the meetings held on 12 and 18 September 2013 |
| 23/10/2013 | Oxy Capital - Sociedade de Capital de Risco, S.A. | Registration | Grant prior simplified registration to the venture capital fund
“Oxycapital Mezzanine Fund – Fundo de Capital de Risco”, to be managed
by Oxy Capital - Sociedade de Capital de Risco, SA |
| 09/10/2013 | Dr. Filipe Ortigão de Oliveira Soares Vieira - Banco Comercial Português, S.A. | Subsequent registration | Approve maintaining the subsequent registration in the register of
Banco Comercial Português, SA, of an employee for pursuing the
investment advice activity |
| 09/10/2013 | Dra. Margarida Isabel e Judas Ribeiro da Cunha Neves - Banco Comercial Português, S.A. | Subsequent registration | Approve maintaining the subsequent registration in the register of
Banco Comercial Português, SA, of an employee for pursuing the
investment advice activity |
