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.

• Katherine Elmore-Jones

  IRN KXE01075

  • [FCA CF] Client dealing (29 Mar 2021 to 31 Jul 2024)
  • CF4 Partner (5 Apr 2012 to 9 Dec 2019)
  • CF30 Customer (18 Nov 2010 to 9 Dec 2019)
• Katie Stradling

  IRN KXS00628

  • [FCA CF] Client dealing (since 25 Sep 2023)
• Kayvan Jason Khaksar

  IRN JKK01011

  • CF4 Partner (1 Apr 2012 to 11 Nov 2016)
• Leonard Tsomik

  IRN LXT01142

  • CF4 Partner (1 Apr 2012 to 31 May 2014)
  • CF30 Customer (18 Nov 2010 to 31 May 2014)
• Lesedi Nikosazana Mbatha

  IRN LXM00682

  • [FCA CF] Client dealing (15 Mar 2024 to 31 Jul 2024)
• Louis Choy

  IRN LXC00216

  • [FCA CF] Client dealing (29 Mar 2021 to 31 Jul 2024)
• Louise Dumican

  IRN LXD01359

  • CF10 Compliance Oversight (31 Aug 2011 to 22 Jun 2017)
  • CF11 Money Laundering Reporting (31 Aug 2011 to 22 Jun 2017)
• Lubna Qunash

  IRN LXQ01025

  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (1 Jan 2015 to 9 Dec 2019)
  • CF30 Customer (1 Jan 2015 to 9 Dec 2019)
• Lucas Parise

  IRN LXP00169

  • [FCA CF] Client dealing (since 31 Mar 2021)
• Lucy Shamdasani

  IRN LXS00257

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

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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