Basso Associates UK Limited

• Principal Place of Business

  Berkeley Square House

  Berkeley Square

  London

  W1J 6BD

  UNITED KINGDOM

  Phone

  +4402033015312

• Complaints Contact

  1266 E Main St

  Stamford, CT 06902-3546

  Stamford

  CT

  06902-3546

  UNITED STATES OF AMERICA

  Phone

  +15162951756

• 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, Unit, Warrant

• 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, Unit, Warrant

• Arranges Asset Safekeeping

  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

• Consumer Hire

• Consumer Hire Servicing

• 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, Unit, Warrant

• 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, Unit, Warrant

• Ben Richard Jacobs

  IRN BRJ01009

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (17 Nov 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Jul 2009 to 14 Sep 2015)
  • CF11 Money Laundering Reporting (7 Jul 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (16 Dec 2005 to 31 Oct 2007)
• Daniel Evan Karp

  IRN DEK01033

  • CF10 Compliance Oversight (16 Dec 2005 to 4 Sep 2006)
• Dwight Carlton Nelson

  IRN DCN01022

  • SMF3 Executive Director (since 6 Jan 2026)
  • CF2 Non Executive Director (4 Feb 2009 to 8 Dec 2019)
• Howard Irwin Fischer

  IRN HIF01001

  • SMF3 Executive Director (9 Dec 2019 to 27 Feb 2023)
  • CF1 Director (16 Dec 2005 to 8 Dec 2019)
• Jenny Young Rhee

  IRN JYR00002

  • CF30 Customer (6 Oct 2008 to 31 Dec 2008)
• Marc Alan Seidenberg

  IRN MAS01596

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (16 Oct 2015 to 8 Dec 2019)
• Stephen Graham Avis

  IRN SGA01029

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF27 Investment Management (3 Oct 2006 to 31 Oct 2007)
  • CF10 Compliance Oversight (3 Oct 2006 to 31 Dec 2008)
  • CF3 Chief Executive (16 Dec 2005 to 31 Dec 2008)
  • CF8 Apportionment and Oversight (16 Dec 2005 to 31 Oct 2007)
  • CF1 Director (16 Dec 2005 to 31 Dec 2008)
  • CF11 Money Laundering Reporting (16 Dec 2005 to 31 Dec 2008)
  • CF21 Investment Adviser (16 Dec 2005 to 31 Oct 2007)

No changes recorded yet.