Bloomberg LP

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, 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.

Senior staff personally approved by the FCA to hold their roles here.

Russel Levi
IRN RXL01193
- CF8 Apportionment and Oversight (1 Dec 2001 to 16 Jan 2008)
Steven Martin Niven
IRN SXN01474
- SMF16 Compliance Oversight (9 Dec 2019 to 22 May 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Jul 2020)
- CF11 Money Laundering Reporting (18 Nov 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (18 Nov 2015 to 8 Dec 2019)
Trevor Meboroh-Collinson
IRN TXM01368
- CF11 Money Laundering Reporting (14 Oct 2004 to 3 Nov 2006)
- CF10 Compliance Oversight (14 Oct 2004 to 3 Nov 2006)

Smaller firms operating under this firm's FCA authorisation.

Bloomberg Finance L.P
FRN 475981 · Appointed 29 Nov 2007
RTS Realtime Systems Limited (no longer appointed)
FRN 628793 · Appointed 22 Jul 2014 · Until 15 Jun 2021
Bloomberg Global Limited (no longer appointed)
FRN 605122 · Appointed 30 Jul 2013 · Until 24 Jan 2014

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.