Castlelake (UK) LLP

• Principal Place of Business

  15 Sackville Street

  London

  W1S 3DJ

  UNITED KINGDOM

  Phone

  +4402071906100

  Web

  https://www.castlelake.com

• Complaints Contact

  15 Sackville Street

  London

  W1S 3DJ

  UNITED KINGDOM

  Phone

  +4402071906100

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), 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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  • · 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, 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), Rolling spot forex contract, 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.

• 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), 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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  • · 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), 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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  • · 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), 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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  • · 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), 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

  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.

• Maria Romolo

  IRN MXR00464

  • SMF16 Compliance Oversight (since 5 Mar 2022)
• Max Gosch Garcia

  IRN MXG02648

  • [FCA CF] Client dealing (7 Mar 2021 to 2 Jun 2021)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• Michele Baldessarini

  IRN MXB02195

  • [FCA CF] Client dealing (since 5 Sep 2022)
• Mohammad Ishtiaq

  IRN MSI01011

  • CF30 Customer (3 Feb 2012 to 1 Oct 2014)
• Muna Mohammad

  IRN MXM01312

  • [FCA CF] Client dealing (8 Jan 2024 to 6 Aug 2024)
• Neil McCrossan

  IRN NXM01847

  • [FCA CF] Client dealing (since 17 Mar 2021)
  • CF30 Customer (6 Feb 2015 to 8 Dec 2019)
• Niall Harvey Brunker

  IRN NHB01037

  • [FCA CF] Client dealing (15 Mar 2021 to 31 Jan 2023)
  • CF30 Customer (23 Mar 2018 to 8 Dec 2019)
• Olivier Blechner

  IRN OXB01019

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF4 Partner (21 Sep 2006 to 31 Dec 2008)
  • CF3 Chief Executive (21 Sep 2006 to 31 Dec 2008)
  • CF27 Investment Management (21 Sep 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (21 Sep 2006 to 31 Dec 2008)
  • CF10 Compliance Oversight (21 Sep 2006 to 1 Apr 2007)
  • CF8 Apportionment and Oversight (21 Sep 2006 to 31 Oct 2007)
• Philipp Anton Braschel

  IRN PAB01404

  • [FCA CF] Client dealing (29 Sep 2021 to 31 Dec 2023)
  • CF30 Customer (23 Apr 2018 to 8 Dec 2019)
• Pulkit Agrawal

  IRN PXA01501

  • [FCA CF] Client dealing (since 15 Mar 2021)

No changes recorded yet.