Central Markets Investment Management Limited

• Principal Place of Business

  c/o Dominik Thiel-Czerwinke and Louise Donna Baxter

  of Begbies Traynor (Central) LLP

  1066 London Road

  Leigh-on-Sea

  Essex

  SS9 3NA

  UNITED KINGDOM

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Spread Bet

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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.

• 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, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Spread Bet

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Spread Bet

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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, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share, Spread Bet

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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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share

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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.

• Michael Edward Patrick Hurley

  IRN MEH01125

  • CF30 Customer (13 Jun 2014 to 18 Aug 2015)
• Pamela Jane Bernadette McCloskey

  IRN PJM01415

  • CF30 Customer (6 Jul 2009 to 5 Oct 2010)
• Patrick John Finn

  IRN PJF01166

  • CF30 Customer (19 Aug 2011 to 30 Dec 2011)
  • CF1 Director (7 Dec 2010 to 30 Dec 2011)
  • CF11 Money Laundering Reporting (7 Dec 2010 to 30 Dec 2011)
  • CF29 Significant management (7 Dec 2010 to 30 Dec 2011)
• Peter Douglas Vanspall

  IRN PDV01014

  • CF30 Customer (5 Jan 2016 to 8 Dec 2019)
• Peter John Shepherd

  IRN PJS01409

  • CF11 Money Laundering Reporting (28 Nov 2012 to 23 Dec 2014)
  • CF10 Compliance Oversight (7 Dec 2010 to 23 Dec 2014)
  • CF1 Director (7 Dec 2010 to 23 Dec 2014)
  • CF30 Customer (18 Oct 2010 to 23 Dec 2014)
• Philip Frederick Culver Evans

  IRN PFC01056

  • CF11 Money Laundering Reporting (17 Jan 2012 to 26 Nov 2012)
  • CF1 Director (29 Dec 2010 to 26 Nov 2012)
• Richard Nichol

  IRN RWN01013

  • CF30 Customer (7 Oct 2010 to 15 Aug 2011)
• Robert Lawrence Joseph

  IRN RLJ01014

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Apr 2012 to 8 Dec 2019)
• Simon Robert Abbas

  IRN SRA01074

  • CF1 Director (14 Jan 2010 to 26 Nov 2012)
• Steven Leslie Lucas

  IRN SLL01036

  • CF1 Director (2 Jan 2008 to 11 Feb 2012)
  • CF10 Compliance Oversight (2 Jan 2008 to 1 Dec 2010)
  • CF11 Money Laundering Reporting (2 Jan 2008 to 1 Dec 2010)
  • CF30 Customer (2 Jan 2008 to 11 Feb 2012)
  • CF8 Apportionment and Oversight (2 Jan 2008 to 31 Mar 2009)

• Primo Asset Management SARL (no longer appointed)

  FRN 616584 · Appointed 4 Mar 2014 · Until 19 Nov 2014

• Alternative Investment Initiatives Limited (no longer appointed)

  FRN 592788 · Appointed 12 Dec 2012 · Until 22 Dec 2014

• PIA-First Limited (no longer appointed)

  FRN 591182 · Appointed 14 Nov 2012 · Until 4 Apr 2014

• PIA - First Capital Limited (no longer appointed)

  FRN 561993 · Appointed 11 Aug 2011 · Until 12 Nov 2012

No changes recorded yet.