Berkeley Partners LLP

• Principal Place of Business

  Berkeley Partners LLP

  11-12 Old Bond Street

  Mayfair, London

  London

  W1S 4PN

  UNITED KINGDOM

  Phone

  +447557286776

  Web

  https://www.berkeley-energy.com

• Complaints Contact

  3 Church Street

  #29-01 Samsung Hub

  Singapore

  049483

  SINGAPORE

  Phone

  +6597249322

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• 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, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed and to the customer type 'professional client'.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed and to the customer type 'professional client'.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed and to the customer type 'professional client'.

• Alastair Charles Vere Nicoll

  IRN AXV01108

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2021)
  • SMF27 Partner (9 Dec 2019 to 1 Jan 2021)
  • CF4 Partner (13 Feb 2008 to 8 Dec 2019)
  • CF30 Customer (13 Feb 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Feb 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Feb 2008 to 8 Dec 2019)
• Andrew William Michael Reicher

  IRN AWR01020

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Feb 2022)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • CF30 Customer (4 Nov 2009 to 8 Dec 2019)
• Anwar Zaib

  IRN AXZ01356

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • CF10 Compliance Oversight (15 Feb 2018 to 8 Dec 2019)
• Jeremy James Gregory Smith

  IRN JJS01034

  • CF4 Partner (13 Feb 2008 to 18 May 2012)
  • CF30 Customer (13 Feb 2008 to 18 May 2012)
• Joseph Fison

  IRN JXF01374

  • CF30 Customer (13 Feb 2008 to 1 Feb 2009)
• Luka Buljan

  IRN LXB01727

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Oct 2014 to 8 Dec 2019)
• Michael David Brown

  IRN MDB01209

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Sep 2022)
  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
• Robert Moffat Renfrew

  IRN RMR01082

  • CF4 Partner (22 Feb 2010 to 9 Nov 2013)
• Tarlochan Singh Kundi

  IRN TSK01008

  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Feb 2008 to 8 Dec 2019)
  • CF4 Partner (13 Feb 2008 to 8 Dec 2019)

No changes recorded yet.