Causeway Securities Limited

• Principal Place of Business

  18-22 Howard Street

  Belfast

  BT1 6PA

  UNITED KINGDOM

  Phone

  +442895921143

  Web

  https://www.causeway-securities.com

• Complaints Contact

  18-22 Howard Street

  Belfast

  BT1 6PA

  UNITED KINGDOM

  Phone

  +442895921143

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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

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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, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, 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, Retail (Investment), Certificates representing certain security, 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, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, 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, 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

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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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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

  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.

• Bobby Daniel Owen

  IRN BXO00079

  • [FCA CF] Client dealing (since 27 May 2025)
• Conor O'Donnell

  IRN CXO01311

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (15 Feb 2018 to 8 Dec 2019)
  • CF1 Director (16 Nov 2017 to 8 Dec 2019)
  • CF1 Director (AR) (17 Aug 2017 to 28 Jun 2021)
• Daniel Ashley Order

  IRN DXO00183

  • [FCA CF] Client dealing (since 29 Feb 2024)
• David O'Neill

  IRN DXO01406

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF30 Customer (9 May 2018 to 8 Dec 2019)
• James Francis Cowan

  IRN JXC11031

  • CF11 Money Laundering Reporting (13 Feb 2019 to 13 Aug 2019)
  • CF10 Compliance Oversight (13 Feb 2019 to 13 Aug 2019)
• John McMonagle

  IRN JXM02702

  • [FCA CF] Client dealing (since 21 Mar 2024)
• Jonathan Michael Little

  IRN JML01069

  • SMF9 Chair of the Governing Body (since 28 Feb 2025)
• Joseph McDaniel

  IRN JXM03182

  • SMF3 Executive Director (since 17 Apr 2024)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (23 Oct 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Oct 2019 to 8 Dec 2019)
• Mark John Tully

  IRN MXT02017

  • CF30 Customer (9 Dec 2016 to 13 Jun 2019)
  • CF1 Director (9 Dec 2016 to 13 Jun 2019)
  • CF10 Compliance Oversight (9 Dec 2016 to 27 Nov 2018)
  • CF11 Money Laundering Reporting (9 Dec 2016 to 27 Nov 2018)

No changes recorded yet.