Bregal Capital LLP

• Principal Place of Business

  Bregal Investments

  20 Air Street

  London

  Westminster

  W1B 5AN

  UNITED KINGDOM

  Phone

  +4402076479407

  Web

  https://www.bregal.com

• Complaints Contact

  Bregal Investments

  20 Air Street

  London

  Westminster

  W1B 5AN

  UNITED KINGDOM

  Phone

  +12127045306

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

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  • · Limited to venture capital business.
  • · 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

  For Eligible Counterparty, Professional

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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, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to venture capital business.
  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to venture capital business.
  • · 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, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to venture capital business.
  • · 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, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to venture capital business.
  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to venture capital business.
  • · 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, 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), Option (excluding a commodity option and an option on a commodity future), 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.

• . Bregal Capital (LP) Ltd

  IRN XXB01121

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (16 Feb 2012 to 8 Dec 2019)
• . Bregal Investments London Limited

  IRN XXB01031

  • SMF27 Partner (since 25 Apr 2025)
• Adam James Barron

  IRN AJB01284

  • CF30 Customer (1 Nov 2007 to 11 Apr 2014)
  • CF11 Money Laundering Reporting (31 May 2002 to 1 Mar 2010)
  • CF27 Investment Management (31 May 2002 to 31 Oct 2007)
  • CF4 Partner (31 May 2002 to 11 Apr 2014)
  • CF10 Compliance Oversight (31 May 2002 to 1 Mar 2010)
• Alain Carrier

  IRN AXC00663

  • SMF1 Chief Executive (1 Jan 2022 to 1 Jan 2025)
  • [FCA CF] Client dealing (25 Nov 2021 to 1 Jan 2025)
• Alessandro Albanese

  IRN AXA02477

  • CF4 Partner (6 Dec 2011 to 31 May 2013)
• Andrew William Lee

  IRN AWL01017

  • CF27 Investment Management (4 Jan 2005 to 11 Apr 2007)
  • CF4 Partner (4 Jan 2005 to 11 Apr 2007)
• Conor Paur

  IRN CXP00742

  • SMF16 Compliance Oversight (since 25 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2025)
• David McMorris Iliff

  IRN DMI01013

  • CF4 Partner (28 Oct 2011 to 15 Feb 2013)
• Dominic Hugh Shorthouse

  IRN DHS01048

  • CF30 Customer (1 Nov 2007 to 2 Feb 2010)
  • CF8 Apportionment and Oversight (31 May 2002 to 31 Mar 2009)
  • CF27 Investment Management (31 May 2002 to 31 Oct 2007)
  • CF4 Partner (31 May 2002 to 2 Feb 2010)
• Dwight Nicholas Cupit

  IRN DXC01499

  • SMF16 Compliance Oversight (9 Dec 2019 to 26 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Sep 2024)
  • SMF27 Partner (9 Dec 2019 to 13 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Sep 2024)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (26 Jul 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Mar 2010 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (15 Jul 2004 to 8 Dec 2019)
  • CF13 Finance (12 Jun 2002 to 31 Oct 2007)

• Anthony Clive Martin Norton (no longer appointed)

  FRN 212821 · Appointed 11 Aug 2009 · Until 31 May 2010

No changes recorded yet.