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.

• Andrew Burgess

  IRN ARB01100

  • CF4 Partner (4 Mar 2011 to 31 Mar 2019)
  • CF30 Customer (18 Nov 2010 to 8 Dec 2019)
• Andrew John Howlett-Bolton

  IRN AJH01606

  • [FCA CF] Significant management (since 29 Mar 2021)
  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (11 Apr 2012 to 9 Dec 2019)
• Andrew Kiat Siong Tan

  IRN AKT01036

  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (5 Jul 2019 to 9 Dec 2019)
  • CF30 Customer (5 Jul 2019 to 9 Dec 2019)
• Andrew Nicholas Shand Lester

  IRN ANL01024

  • [FCA CF] Client dealing (29 Mar 2021 to 31 Aug 2022)
  • CF30 Customer (26 Feb 2016 to 9 Dec 2019)
  • CF4 Partner (1 Mar 2014 to 9 Dec 2019)
• Andrew Zimmermann

  IRN AHZ01002

  • [FCA CF] Significant management (29 Mar 2021 to 1 Aug 2022)
  • CF4 Partner (19 Jan 2015 to 9 Dec 2019)
• Angelica De Giorgis

  IRN AXD89918

  • [FCA CF] Client dealing (since 22 Jan 2026)
• Anna Jasniak

  IRN AXJ00359

  • [FCA CF] Significant management (since 30 Sep 2022)
• Anna-Louise Oliver

  IRN AXO00109

  • [FCA CF] Client dealing (since 29 Mar 2021)
• Antonio Capo

  IRN AXC02152

  • [FCA CF] Client dealing (since 28 May 2021)
• Avik Dey

  IRN AXD00620

  • [FCA CF] Client dealing (15 Sep 2022 to 30 Nov 2022)

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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