Cavendish Capital Markets Limited

• Principal Place of Business

  One Bartholomew

  Barts Square

  London

  EC1A 7BL

  UNITED KINGDOM

  Phone

  +4402072200500

  Web

  https://www.cavendish.com

• Investment Advice (no pensions)

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

• Investment Setup

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

• Electronic Trade Settlement

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

• Marc Young

  IRN MXY01082

  • CF30 Customer (21 Jan 2009 to 19 Apr 2013)
• Mark Andrew Brewer

  IRN MAB01160

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2023)
  • CF30 Customer (19 Jan 2016 to 8 Dec 2019)
• Mark Andrew Heyhoe

  IRN MAH01364

  • CF30 Customer (10 Oct 2013 to 17 Oct 2014)
• Mark Barry Fidgen

  IRN MBF01008

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • CF30 Customer (24 Sep 2015 to 8 Dec 2019)
• Mark Chellingworth

  IRN MXC02196

  • [FCA CF] Client dealing (5 Jan 2022 to 30 Sep 2022)
• Mark David Whitfeld

  IRN MDW01056

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Oct 2023)
  • CF30 Customer (1 Aug 2017 to 8 Dec 2019)
• Mark Davis Tubby

  IRN MDT01045

  • SMF16 Compliance Oversight (9 Dec 2019 to 6 Oct 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Oct 2023)
  • CF30 Customer (23 Feb 2016 to 8 Dec 2019)
  • CF1 Director (12 Mar 2014 to 5 Dec 2018)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Jul 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Jul 2007 to 8 Dec 2019)
• Mark Paddon

  IRN MRP01051

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2024)
  • CF30 Customer (11 Sep 2009 to 30 Jun 2016)
• Martin Francis Andrew Potts

  IRN MFP01012

  • CF30 Customer (20 Jul 2011 to 8 Dec 2019)
• Mary Osborne

  IRN MXO00108

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)

No changes recorded yet.