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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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.

• Rudolf Kinsky

  IRN RXK01074

  • CF27 Investment Management (1 Dec 2001 to 31 Jan 2005)
• Rupert Howard

  IRN RSH01089

  • [FCA CF] Manager of certification employee (since 13 Jul 2021)
  • [FCA CF] Client dealing (since 28 May 2020)
  • CF30 Customer (9 Jul 2018 to 8 Dec 2019)
• Rupert Thomas Ingress Bell

  IRN RTB01038

  • CF30 Customer (1 Nov 2007 to 14 Jul 2008)
  • CF27 Investment Management (3 Nov 2006 to 31 Oct 2007)
• Russell Cummings

  IRN RXC01276

  • CF27 Investment Management (1 Dec 2001 to 29 Sep 2003)
• Sachin Jivanji

  IRN SXJ91780

  • [FCA CF] Client dealing (28 May 2020 to 30 Sep 2020)
• Sarah Elizabeth Mary Hogg

  IRN SEH01057

  • CF30 Customer (1 Nov 2007 to 7 Jul 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Scott Moseley

  IRN SBM01027

  • SMF3 Executive Director (1 Jul 2022 to 11 Feb 2025)
  • [FCA CF] Material risk taker (1 Jul 2022 to 11 Feb 2025)
  • [FCA CF] Manager of certification employee (17 May 2021 to 1 Jul 2022)
  • [FCA CF] Client dealing (28 May 2020 to 11 Feb 2025)
  • CF30 Customer (4 Dec 2014 to 8 Dec 2019)
• Sean Thomas Farrell

  IRN STF01015

  • CF30 Customer (22 Dec 2008 to 11 Mar 2009)
• Sebastian Schwengber

  IRN SXS04884

  • [FCA CF] Client dealing (28 May 2020 to 18 Jun 2021)
  • CF30 Customer (17 Jul 2017 to 8 Dec 2019)
• Simon Alexander Borrows

  IRN SAB01128

  • [FCA CF] Material risk taker (since 28 May 2020)
  • [FCA CF] Client dealing (since 28 May 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (17 May 2012 to 27 Aug 2019)
  • CF1 Director (18 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (18 Oct 2011 to 8 Dec 2019)

No changes recorded yet.