3i Investments Plc

• Principal Place of Business

  3i Investments plc

  1 Knightsbridge

  London

  SW1X 7LX

  UNITED KINGDOM

  Phone

  +4402079753131

  Web

  https://www.3i.com

• Complaints Contact

  1 Knightsbridge

  London

  SW1X 7LX

  UNITED KINGDOM

  Phone

  +4402079753094

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Jeremy Bentley

  IRN JXB91778

  • [FCA CF] Manager of certification employee (28 May 2020 to 20 Nov 2023)
• John Cavill

  IRN JIC01033

  • [FCA CF] Manager of certification employee (28 May 2020 to 31 May 2024)
  • [FCA CF] Client dealing (28 May 2020 to 31 May 2024)
  • CF30 Customer (5 Jul 2017 to 8 Dec 2019)
• John Davies

  IRN JXD01327

  • CF27 Investment Management (1 Dec 2001 to 28 Feb 2002)
• John Edwin Patterson

  IRN JEP01181

  • CF30 Customer (21 Sep 2015 to 16 Jun 2017)
• John Julian Davison

  IRN JJD01049

  • CF30 Customer (1 Nov 2007 to 10 Nov 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Murray Allan

  IRN JMA01167

  • CF30 Customer (3 Sep 2009 to 30 Apr 2011)
• John Paul Decesare

  IRN JPD01157

  • [FCA CF] Material risk taker (since 28 May 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (7 Jun 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Jun 2010 to 8 Dec 2019)
• John Peter Stefano Holden

  IRN JPH01099

  • CF27 Investment Management (1 Dec 2001 to 28 Feb 2003)
• John Richard Barry

  IRN JRB01258

  • CF21 Investment Adviser (19 Feb 2007 to 30 Oct 2007)
  • CF27 Investment Management (15 Nov 2005 to 30 Oct 2007)
• John Richard Forrest

  IRN JRF01040

  • CF27 Investment Management (1 Dec 2001 to 7 Apr 2004)

No changes recorded yet.