Altree Capital (UK) Ltd.

• Principal Place of Business

  London Executive Offices

  78 Pall Mall

  London

  Westminster

  SW1Y 5ES

  UNITED KINGDOM

  Phone

  +4402071019290

  Web

  https://www.altreecapital.com

• Complaints Contact

  North Shore Road

  Flatts Village

  Smith's FL 03

  Smith's

  FL 03

  BERMUDA

  Phone

  +14412787610

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing acitivities in respect to the Finch Fund and the Finch Innovation Fund.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Anthony Fischli

  IRN AXF01134

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF8 Apportionment and Oversight (1 Oct 2003 to 31 Mar 2009)
  • CF3 Chief Executive (1 Oct 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Sep 2003)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Barry Patrick Ambrose Carroll

  IRN BPC01109

  • CF1 Director (15 Oct 2004 to 30 Sep 2005)
• Bruce Chandler Gonyea

  IRN BCG01014

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2002)
  • CF1 Director (1 Dec 2001 to 30 Sep 2002)
• Charles Jean Hubert Gave

  IRN CJG01058

  • CF1 Director (1 Dec 2001 to 8 Sep 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 8 Sep 2003)
  • CF3 Chief Executive (1 Dec 2001 to 8 Sep 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 8 Sep 2003)
• Ilkka Veikko Antero Rauvola

  IRN IVR01002

  • CF21 Investment Adviser (1 May 2002 to 30 Sep 2002)
• John Barrie Sanderson

  IRN JBS01038

  • CF1 Director (24 Nov 2005 to 8 Jan 2016)
• Quan Hui Lee

  IRN QHL01000

  • CF1 Director (1 Dec 2001 to 1 Dec 2001)
• Robin Farrell

  IRN RXF01163

  • CF21 Investment Adviser (8 Oct 2002 to 12 Sep 2003)
• Tomothy Ng

  IRN TXN01078

  • CF1 Director (3 Sep 2002 to 28 Sep 2004)

No changes recorded yet.