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.

• Paul Waller

  IRN PXW01261

  • CF30 Customer (1 Nov 2007 to 1 Feb 2013)
  • CF1 Director (1 Dec 2001 to 22 Aug 2012)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Peter Bryan Gurmin Williams

  IRN PBW01018

  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2002)
  • CF1 Director (1 Dec 2001 to 31 Dec 2002)
• Peter Charles Gordon

  IRN PCG01034

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Peter John Gardner

  IRN PJG01148

  • CF27 Investment Management (19 Jul 2002 to 5 Sep 2003)
• Peter John Yendell

  IRN PJY01020

  • CF27 Investment Management (1 Dec 2001 to 30 Apr 2007)
• Peter Wilson

  IRN PJW01311

  • [FCA CF] Client dealing (28 May 2020 to 22 Oct 2020)
  • [FCA CF] Manager of certification employee (28 May 2020 to 22 Oct 2020)
  • CF30 Customer (13 Jan 2011 to 8 Dec 2019)
• Peter Wirtz

  IRN PXW13297

  • [FCA CF] Material risk taker (since 28 May 2020)
  • [FCA CF] Client dealing (since 28 May 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (18 Jun 2019 to 8 Dec 2019)
• Philip Bennett-Britton

  IRN PAB01229

  • CF30 Customer (24 Sep 2010 to 26 Sep 2011)
• Philip Edward Yea

  IRN PEY01002

  • CF30 Customer (1 Nov 2007 to 27 Jan 2009)
  • CF1 Director (7 Jul 2004 to 27 Jan 2009)
  • CF27 Investment Management (7 Jul 2004 to 31 Oct 2007)
  • CF3 Chief Executive (7 Jul 2004 to 27 Jan 2009)
  • CF8 Apportionment and Oversight (7 Jul 2004 to 31 Oct 2007)
• Philip Greves

  IRN PXG01172

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF27 Investment Management (10 Mar 2004 to 31 Oct 2007)

No changes recorded yet.