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.

• Michael Gallon

  IRN MXG00878

  • [FCA CF] Material risk taker (since 1 Jan 2025)
• Michael James Evison

  IRN MXE00342

  • [FCA CF] Client dealing (since 25 Sep 2024)
• Michael John Burton

  IRN MJB01317

  • [FCA CF] Client dealing (30 Jun 2020 to 30 Apr 2022)
  • CF4 Partner (14 Oct 2013 to 8 Dec 2019)
  • CF30 Customer (14 Oct 2013 to 8 Dec 2019)
• Michael Jonathan Robert Hodnett

  IRN MJH01576

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 May 2024)
  • SMF16 Compliance Oversight (since 1 May 2024)
  • [FCA CF] Material risk taker (since 1 Apr 2024)
• Michael Laurent Harleaux

  IRN MLH01097

  • [FCA CF] Client dealing (1 Apr 2024 to 30 May 2024)
• Michael Wade Parker

  IRN MXP00612

  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 7 Mar 2023)
  • SMF18 Other Overall Responsibility (since 14 Nov 2022)
• Michiel Milanovic

  IRN MXM00442

  • [FCA CF] Client dealing (4 Sep 2020 to 12 Aug 2022)
• Milo Du

  IRN MXD00552

  • [FCA CF] Client dealing (since 16 Jun 2022)
• Muhammad Ali Farid Khwaja

  IRN MAK01194

  • CF4 Partner (2 Jan 2018 to 28 Feb 2018)
  • CF30 Customer (1 Mar 2016 to 28 Feb 2018)
• Muhammad Ali Rehan

  IRN MAR01288

  • CF30 Customer (12 Jul 2011 to 3 Jun 2013)

• Procensus Limited (no longer appointed)

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

No changes recorded yet.