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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• Seamus Anthony Fricker

  IRN SXF00243

  • [FCA CF] Client dealing (since 2 Jul 2021)
• Shane Ciaran Watters

  IRN SCW01085

  • [FCA CF] Proprietary trader (9 Dec 2019 to 3 Aug 2021)
  • CF30 Customer (1 Aug 2018 to 8 Dec 2019)
• Simon Asher Jacobs

  IRN SAJ01104

  • CF30 Customer (23 Jun 2010 to 23 Oct 2015)
• Simon David Jackson

  IRN SDJ01024

  • CF30 Customer (27 Jul 2015 to 30 Mar 2016)
• Simon Starr

  IRN SXS02191

  • CF30 Customer (24 Sep 2009 to 18 Jun 2014)
• Simon Thomas Hicks

  IRN STH01051

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2024)
  • CF30 Customer (26 Mar 2014 to 8 Dec 2019)
• Stephen Joseph

  IRN SAJ01087

  • CF30 Customer (5 Apr 2016 to 8 Dec 2019)
• Stephen McGarry

  IRN SJM01251

  • [FCA CF] Client dealing (11 May 2022 to 26 May 2023)
• Stephen Shaw Keys

  IRN SSK01008

  • [FCA CF] Significant management (since 9 Sep 2023)
  • [FCA CF] Client dealing (since 9 Sep 2023)
  • [FCA CF] Manager of certification employee (since 9 Sep 2023)
  • [FCA CF] Material risk taker (since 9 Sep 2023)
• Stephen Timothy Preston Norcross

  IRN STN01006

  • CF30 Customer (1 Nov 2007 to 11 Oct 2018)
  • CF21 Investment Adviser (31 Jul 2007 to 31 Oct 2007)

No changes recorded yet.