CECP Advisors LLP

• Principal Place of Business

  1 St James's Market

  London

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +4402078941200

  Web

  http://www.carlyle.com

• Complaints Contact

  The Carlyle Group

  1 St. James's Market

  London

  Westminster

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +4402078941200

• 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, 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 advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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, 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

  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.

• 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, 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

  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.

• Michael F Savage Jr.

  IRN MXF01969

  • [FCA CF] Client dealing (29 Mar 2021 to 31 Dec 2022)
  • CF30 Customer (19 Jul 2016 to 8 Dec 2019)
• Michael Wand

  IRN MXW01265

  • SMF27 Partner (since 23 Feb 2026)
  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (4 Mar 2011 to 9 Dec 2019)
  • CF30 Customer (18 Nov 2010 to 9 Dec 2019)
• Michael Zornitta

  IRN MXZ80773

  • [FCA CF] Client dealing (10 Nov 2022 to 31 Jul 2024)
• Nazo Moosa

  IRN NXM01445

  • CF30 Customer (18 Nov 2010 to 22 Jul 2013)
• Neal Costello

  IRN NXC00205

  • [FCA CF] Client dealing (1 Jul 2021 to 31 Jul 2024)
• Neel Gangani

  IRN NXG00222

  • [FCA CF] Client dealing (7 Nov 2022 to 31 Jul 2024)
• Nicholas George Rushgrove

  IRN NGR01031

  • [FCA CF] Client dealing (30 Sep 2022 to 1 Feb 2024)
  • CF4 Partner (2 May 2018 to 9 Dec 2019)
• Nicholas James Reid

  IRN NJR01157

  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (2 Nov 2017 to 9 Dec 2019)
• Nicholas James Tassell

  IRN NJT01107

  • SMF27 Partner (since 20 Nov 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Nov 2025)
  • SMF16 Compliance Oversight (since 20 Nov 2025)
• Nigar Huseynova

  IRN NXH00484

  • [FCA CF] Client dealing (since 24 Feb 2025)

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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