Arbor Research & Trading UK Limited

Date authorised
1 April 2013
Companies House
03707924
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    First Floor
    63 St Mary Axe
    London
    EC3A 8AA
    UNITED KINGDOM
    Phone
    +442071001051
    Web
    https://www.arborresearch.com

  • Complaints Contact

    63 St. Mary Axe
    London
    EC3A 8AA
    UNITED KINGDOM
    Phone
    +4402071001051

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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet

    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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet

    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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet

    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.

  • Investment Setup

    For Eligible Counterparty, Professional, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet

    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.

  • John Louis Spagoletti

    IRN JLS01094

    • CF30 Customer (1 Nov 2007 to 23 Jan 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • MILTON SYLVESTER McNICHOL

    IRN MXM01439

    • CF30 Customer (18 May 2009 to 13 May 2011)
  • Michael Charles Cipriano

    IRN MCC01131

    • CF30 Customer (6 Mar 2008 to 8 Dec 2019)
  • Michael Moise

    IRN MXM78701

    • SMF3 Executive Director (since 20 Jul 2020)
  • Neil William Tritton

    IRN NWT01003

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Paras Raichura

    IRN PXR01592

    • CF30 Customer (17 Jul 2012 to 4 Feb 2016)
  • Richard George Stephenson

    IRN RGS01083

    • CF21 Investment Adviser (17 Jun 2003 to 31 May 2004)
  • Salvatore Russo

    IRN SXR01987

    • CF30 Customer (12 Jul 2013 to 6 Feb 2017)
  • Sean Bruce Fletcher

    IRN SBF01003

    • CF21 Investment Adviser (1 Dec 2001 to 8 May 2005)
  • Stuart Warren Colley

    IRN SWC01030

    • CF21 Investment Adviser (17 Jun 2005 to 1 Dec 2005)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.