Caixabank SA

• Principal Place of Business

  CaixaBank, 23rd Floor

  20 Fenchurch Street

  London

  E3CM 3BY

  UNITED KINGDOM

  Phone

  +447734601812

  Web

  https://www.caixabank.co.uk

• Complaints Contact

  CaixaBank, 23rd Floor

  20 Fenchurch Street

  London

  London

  E3CM 3BY

  UNITED KINGDOM

  Phone

  +442073980160

• Bank Deposits

  For Eligible Counterparty, Professional

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  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Authorised to Operate

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Share, 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.

• Stockbroking

  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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Limited to investment management activities for the specified customer types.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

• Maria Eugenia Finez Leon

  IRN MXF00318

  • SMF24 Chief Operations (since 7 Sep 2022)
• Norashikin Sheikh Mohamed Amin

  IRN SMN01045

  • SMF16 Compliance Oversight (since 11 Oct 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Oct 2024)
• Paul Richard Donnelly

  IRN PXD00396

  • [FCA CF] Significant management (since 29 Jul 2024)
• Sergi Periago Estornell

  IRN SXP00571

  • [FCA CF] Significant management (since 1 May 2018)
  • SMF19 Head of Overseas Branch/Head of Overseas (16 Aug 2024 to 27 Sep 2024)
  • [FCA CF] CASS oversight function (1 May 2018 to 2 May 2018)
• Thibaud Ollivier

  IRN TXO87270

  • [FCA CF] Significant management (since 29 Jul 2024)
• Victor Granero Valero

  IRN VXG00098

  • SMF19 Head of Overseas Branch/Head of Overseas (since 12 Dec 2024)

No changes recorded yet.