Amstel Securities LLP

Date authorised
1 October 2013
Companies House
OC379630
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    14 Hanover Square
    London
    Westminster
    W1S 1HN
    UNITED KINGDOM
    Phone
    +447767313260
    Web
    https://www.amstelsecurities.com

  • Complaints Contact

    14 Hanover Square
    London
    Westminster
    W1S 1HN
    UNITED KINGDOM
    Phone
    +447767313260

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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
    • · 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, 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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, 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

    Show 2 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.
    • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' in the FSA's Glossary of defined expressions used in the FSA's Handbook

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Jason Marc Keogh

    IRN JMK01044

    • CF4 Partner (16 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (4 Feb 2019 to 8 Dec 2019)
  • Kevin Shaun Christopher Cronin

    IRN KSC01016

    • CF4 Partner (4 Dec 2017 to 30 Nov 2018)
    • CF30 Customer (4 Dec 2017 to 30 Nov 2018)
  • Mark Wickham Steed

    IRN MWS01026

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF29 Significant management (24 Feb 2015 to 8 Dec 2019)
    • CF3 Chief Executive (8 Oct 2013 to 10 Feb 2015)
    • CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
    • CF4 Partner (1 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
  • Martti Aapo Juhani Siivola

    IRN MAS01595

    • CF4 Partner (1 Nov 2015 to 25 Jan 2016)
    • CF30 Customer (13 Oct 2015 to 25 Jan 2016)
  • Mehul Sudhir Sheth

    IRN MSS01155

    • CF30 Customer (1 May 2014 to 23 Jun 2014)
  • Neil John Pace

    IRN NJP01177

    • CF30 Customer (1 Nov 2015 to 28 Feb 2019)
    • CF4 Partner (26 Jun 2015 to 28 Feb 2019)
  • Nicholas Charles Laking

    IRN NCL01011

    • CF4 Partner (1 Nov 2015 to 31 Dec 2017)
    • CF30 Customer (23 Jun 2015 to 31 Dec 2017)
  • Remco Van Nigtevegt

    IRN RXV01097

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (1 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
  • Robert Grant Argent

    IRN RGA01045

    • CF30 Customer (2 Feb 2015 to 31 Mar 2015)
  • Ronald Andrew Alder

    IRN RAA01033

    • CF3 Chief Executive (1 Oct 2013 to 1 Oct 2013)
    • CF30 Customer (1 Oct 2013 to 1 Oct 2013)
    • CF4 Partner (1 Oct 2013 to 1 Oct 2013)
Show more

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.