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.

• Simon James Christopher Freer

  IRN SJF01186

  • CF30 Customer (1 Nov 2007 to 10 Nov 2011)
  • CF27 Investment Management (4 Jul 2006 to 31 Oct 2007)
• Simon Peter Ball

  IRN SPB01141

  • CF30 Customer (1 Nov 2007 to 30 Nov 2008)
  • CF27 Investment Management (19 Jun 2006 to 31 Oct 2007)
  • CF1 Director (7 Feb 2005 to 30 Nov 2008)
  • CF13 Finance (7 Feb 2005 to 7 Feb 2005)
• Simon Robert Thompson

  IRN SRT01091

  • CF2 Non Executive Director (27 Mar 2015 to 8 Dec 2019)
• Simon William Howard

  IRN SWH01028

  • CF16 Significant Mgt (Desgntd Investment Business) (26 Nov 2002 to 30 Sep 2005)
  • CF27 Investment Management (1 Dec 2001 to 30 Sep 2005)
• Sophia Clare WALWYN-JAMES

  IRN SCK01044

  • [FCA CF] Client dealing (since 28 May 2020)
• Stephane Grandguillaume

  IRN SXG01530

  • [FCA CF] Client dealing (28 May 2020 to 31 May 2024)
  • [FCA CF] Manager of certification employee (28 May 2020 to 31 May 2024)
• Stephen Charles Keating

  IRN SCK01019

  • CF27 Investment Management (1 Dec 2001 to 31 Aug 2007)
• Stephen Guy Hill

  IRN SGH01074

  • CF30 Customer (1 Nov 2007 to 30 Sep 2008)
  • CF21 Investment Adviser (5 Dec 2006 to 31 Oct 2007)
• Stephen Jonathan Hicks

  IRN SJH01404

  • CF10 Compliance Oversight (1 Oct 2005 to 20 May 2010)
  • CF11 Money Laundering Reporting (1 Oct 2005 to 20 May 2010)
• Stephen Joseph Geelan

  IRN SJG01165

  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2004)

No changes recorded yet.