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.

• Roberta Cupito

  IRN RXC01742

  • [FCA CF] Client dealing (since 6 Dec 2022)
• Robin David Hobbs

  IRN RDH01123

  • [FCA CF] Material risk taker (since 8 Mar 2023)
  • SMF4 Chief Risk (since 3 Aug 2022)
• Ronan Clarke

  IRN RXC01279

  • [FCA CF] Client dealing (1 Sep 2021 to 22 Feb 2023)
• Rory William Graham-Watson

  IRN RXG00347

  • [FCA CF] Client dealing (since 18 Nov 2024)
• Rushee Singh Jolly

  IRN RSJ01042

  • [FCA CF] Client dealing (1 Jan 2021 to 9 Apr 2021)
• STEPHEN BENEDICT Barrett

  IRN SBB01018

  • [FCA CF] Client dealing (9 Dec 2019 to 1 May 2021)
  • CF30 Customer (13 Sep 2019 to 8 Dec 2019)
• Samantha Guthrie

  IRN SXG01540

  • [FCA CF] Material risk taker (10 Oct 2023 to 1 May 2024)
  • SMF16 Compliance Oversight (25 Aug 2023 to 1 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2020)
  • CF4 Partner (18 Aug 2016 to 1 Apr 2019)
  • CF11 Money Laundering Reporting (9 Jul 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Jul 2015 to 8 Dec 2019)
• Sami Korchi Sorensen

  IRN SKS01092

  • [FCA CF] Client dealing (30 Mar 2020 to 13 Jul 2020)
• Sara Bellenda

  IRN SXB01431

  • [FCA CF] Client dealing (since 5 Feb 2025)
• Sara Russo

  IRN SXR00506

  • [FCA CF] Client dealing (since 18 Mar 2022)

• Procensus Limited (no longer appointed)

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

No changes recorded yet.