BERNSTEIN AUTONOMOUS LLP

• Principal Place of Business

  60 London Wall

  London

  EC2M 5SH

  UNITED KINGDOM

  Phone

  +4402077621000

  Web

  https://www.bernsteinresearch.com

• Complaints Contact

  60 London Wall

  London

  EC2M 5SH

  UNITED KINGDOM

  Phone

  +4402076768073

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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, Alternative Debenture, 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, 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, Alternative Debenture, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Warrant

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.
  • · 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, Alternative Debenture, 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, 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 John Welch

  IRN DJW01481

  • [FCA CF] Client dealing (1 Jan 2021 to 13 Dec 2024)
• David Liles

  IRN DXL01402

  • [FCA CF] Material risk taker (1 Jan 2021 to 31 Dec 2021)
• David Wright

  IRN DXW00273

  • [FCA CF] CASS oversight function (since 1 Jan 2021)
• Declan Kearney

  IRN DXK24282

  • [FCA CF] Material risk taker (1 Jan 2021 to 31 Mar 2024)
  • SMF18 Other Overall Responsibility (16 Feb 2020 to 31 Mar 2024)
• Denise Marie Keen

  IRN DMK01056

  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Jan 2021)
  • SMF18 Other Overall Responsibility (since 1 Feb 2020)
• Di Hu

  IRN DXH02283

  • [FCA CF] Client dealing (1 Jan 2021 to 5 May 2021)
• Dipak Mistry

  IRN DXM01963

  • SMF18 Other Overall Responsibility (6 Feb 2021 to 29 Jan 2024)
  • [FCA CF] Material risk taker (1 Jan 2021 to 29 Jan 2024)
• Domenico Santoro

  IRN DXS01797

  • CF30 Customer (7 Jul 2014 to 24 Feb 2017)
• Dominic Michael Sofocleous

  IRN DMS01195

  • [FCA CF] Material risk taker (1 Jan 2021 to 1 Dec 2021)
  • [FCA CF] Client dealing (1 Jan 2021 to 13 Dec 2024)
• Donald Leo Betson

  IRN DLB01080

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (3 Feb 2016 to 8 Dec 2019)
  • CF30 Customer (25 May 2011 to 8 Dec 2019)

• Procensus Limited (no longer appointed)

  FRN 758164 · Appointed 9 Sep 2016 · Until 1 Oct 2017

No changes recorded yet.