Bordier & Cie (UK) PLC

• Principal Place of Business

  Bordier & Cie (UK) plc

  23 King Street

  London

  Westminster

  SW1Y 6QY

  UNITED KINGDOM

  Phone

  +442076676600

  Web

  https://www.bordieruk.com

• Complaints Contact

  Bordier & Cie (UK) plc

  23 King Street

  London

  Westminster

  SW1Y 6QY

  UNITED KINGDOM

  Phone

  +442076676600

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Unit, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Unit, 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.

• Katie Anne Palmer

  IRN KAM01154

  • CF30 Customer (10 Nov 2008 to 30 Sep 2015)
• Keith Gwyn Speck

  IRN KGS01021

  • CF27 Investment Management (1 Dec 2001 to 17 Mar 2005)
• Kevin Anthony Farrell

  IRN KAF01053

  • SMF16 Compliance Oversight (since 1 Mar 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Kevin Patrick Joseph Gray

  IRN KPG01029

  • CF30 Customer (20 Jun 2014 to 20 Nov 2019)
• Kiran Ramchandani

  IRN KXR01324

  • CF10 Compliance Oversight (18 Feb 2011 to 22 Nov 2013)
  • CF11 Money Laundering Reporting (18 Feb 2011 to 22 Nov 2013)
  • CF29 Significant management (3 Nov 2010 to 22 Nov 2013)
• Leila Irene Vassiltchikov-Ali Khan

  IRN LXV09502

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 27 Oct 2023)
  • CF2 Non Executive Director (14 Feb 2019 to 8 Dec 2019)
• Lewis Jenkins

  IRN LXJ00028

  • [FCA CF] CASS oversight function (since 28 Mar 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Lucy Chahil

  IRN LXC23476

  • [FCA CF] Functions requiring qualifications (14 Mar 2022 to 19 Apr 2023)
• Malcolm James MacGregor Cuthbert

  IRN MJC00040

  • CF29 Significant management (1 Apr 2011 to 5 Aug 2011)
  • CF30 Customer (1 Apr 2011 to 5 Aug 2011)
• Mark Andrew Sherwood

  IRN MAS01189

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
  • SMF3 Executive Director (9 Dec 2019 to 9 Nov 2020)
  • CF1 Director (14 Jul 2011 to 8 Dec 2019)
  • CF29 Significant management (6 Dec 2010 to 8 Dec 2019)
  • CF30 Customer (19 Mar 2009 to 8 Dec 2019)

No changes recorded yet.