Astor Ridge LLP

• Principal Place of Business

  Dowgate Hill House

  14-16 Dowgate Hill

  Suite 102

  London

  Middlesex

  EC4R 2SU

  UNITED KINGDOM

  Phone

  +4402031434800

  Web

  https://astorridge.com

• Complaints Contact

  Dowgate Hill House

  14-16 Dowgate Hill

  Suite 102

  London

  Middlesex

  EC4R 2SU

  UNITED KINGDOM

  Phone

  +4402031434800

• 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, Warrant

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  • · 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

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  • · 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, Warrant

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  • · 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, Spread Bet, 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.

• Trades With You Directly

  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, Warrant

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  • · 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, 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, 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.

• David Sean Davies

  IRN DSD01018

  • CF30 Customer (11 Sep 2013 to 28 Dec 2016)
• Egor Alexandrovich Avdeev

  IRN EXA01177

  • CF30 Customer (14 Sep 2017 to 9 Apr 2018)
• Gareth Richard Edwards

  IRN GRE01013

  • [FCA CF] Client dealing (23 Nov 2020 to 7 Feb 2023)
• George Anthony Whitehead

  IRN GAW01044

  • [FCA CF] Client dealing (23 Nov 2020 to 3 Feb 2025)
  • CF30 Customer (24 Mar 2016 to 8 Dec 2019)
• James Edmund Rice

  IRN JER01046

  • [FCA CF] Client dealing (since 23 Nov 2020)
  • CF30 Customer (20 Sep 2016 to 8 Dec 2019)
• James Lockard

  IRN JXL01237

  • [FCA CF] Client dealing (since 23 Nov 2020)
  • SMF16 Compliance Oversight (since 18 Jun 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Jun 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (20 Aug 2012 to 8 Dec 2019)
  • CF4 Partner (20 Aug 2012 to 8 Dec 2019)
• Jean-Francois Nicholas Jacques Lucas

  IRN JNL01013

  • CF30 Customer (23 Feb 2017 to 10 Jan 2019)
• John Lawrence Wentzell

  IRN JXW01428

  • [FCA CF] Client dealing (since 23 Nov 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Jun 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Jun 2020)
  • CF4 Partner (20 Aug 2012 to 8 Dec 2019)
  • CF30 Customer (20 Aug 2012 to 8 Dec 2019)
  • CF3 Chief Executive (20 Aug 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 Aug 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Aug 2012 to 8 Dec 2019)
• Marc Andre Lamoureux

  IRN MAL01090

  • [FCA CF] Client dealing (since 23 Nov 2020)
• Mark Peter Funsch

  IRN MPF01022

  • [FCA CF] Client dealing (23 Nov 2020 to 8 Jan 2024)
  • CF30 Customer (20 Jan 2015 to 8 Dec 2019)

No changes recorded yet.