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

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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, 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.

• Norbert Reis

  IRN NXR01080

  • CF30 Customer (18 Nov 2010 to 1 Jan 2013)
• Oliver Charles Butler

  IRN OCB01008

  • [FCA CF] Client dealing (29 Mar 2021 to 30 Apr 2022)
  • CF4 Partner (6 Apr 2016 to 9 Dec 2019)
  • CF30 Customer (18 Nov 2010 to 9 Dec 2019)
• Oliver Koethe

  IRN OXK00030

  • [FCA CF] Client dealing (since 6 Oct 2021)
• Parminder Singh

  IRN PXS02807

  • [FCA CF] Client dealing (29 Mar 2021 to 8 Jul 2024)
  • CF4 Partner (6 Apr 2016 to 9 Dec 2019)
  • CF30 Customer (6 Apr 2016 to 9 Dec 2019)
• Per Johan Oskar Skogland

  IRN PJS01413

  • CF4 Partner (30 Apr 2013 to 1 Mar 2018)
  • CF30 Customer (18 Nov 2010 to 1 Mar 2018)
• Peter Garvey

  IRN PXG01512

  • CF30 Customer (2 Jun 2014 to 8 Dec 2019)
• Petr Rieger

  IRN PXR01865

  • [FCA CF] Client dealing (since 15 Mar 2022)
• Philip John Davis

  IRN PXD19154

  • CF4 Partner (3 Oct 2019 to 9 Dec 2019)
• Philipp David

  IRN PXD01929

  • [FCA CF] Client dealing (15 Mar 2024 to 1 Apr 2026)
• Philippe Arnaud Sokolowski

  IRN PAS01353

  • CF4 Partner (28 Sep 2015 to 7 Apr 2016)
  • CF30 Customer (28 Sep 2015 to 7 Apr 2016)

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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