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

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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.

• Vincent Lee

  IRN VXL01186

  • [FCA CF] Client dealing (1 Jan 2021 to 17 Dec 2021)
• Vineet Kumar Surana

  IRN VXS00079

  • [FCA CF] Client dealing (since 20 Apr 2021)
• Virginia Martin Heriz

  IRN VXM01172

  • CF30 Customer (20 Sep 2011 to 14 May 2012)
• WIMAL KAPADIA

  IRN WXK01121

  • [FCA CF] Client dealing (1 Jan 2021 to 16 Jan 2023)
• Wells Winfrey

  IRN WXW00038

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

  IRN WDK00006

  • [FCA CF] Client dealing (since 1 Apr 2024)
• William Woods

  IRN WXW00035

  • [FCA CF] Client dealing (since 1 Jan 2021)
• Xiaoqian Li

  IRN XXL01113

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Feb 2013 to 8 Dec 2019)
• Xiaoyu Chen

  IRN XXC00012

  • [FCA CF] Client dealing (since 25 Aug 2021)
• Yan Zhu

  IRN YXZ00076

  • [FCA CF] Client dealing (since 30 Oct 2024)

• Procensus Limited (no longer appointed)

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

No changes recorded yet.