Charterhouse General Partners (IX) Limited

• Principal Place of Business

  6th Floor

  Belgrave House

  76 Buckingham Palace Road

  London

  Westminster

  SW1W 9TQ

  UNITED KINGDOM

  Phone

  +4402073345300

  Web

  https://www.charterhouse.co.uk

• Complaints Contact

  6th Floor

  Belgrave House

  76 Buckingham Palace Road

  London

  SW1W 9TQ

  UNITED KINGDOM

  Phone

  +4402073345300

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".

• Runs Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".

• Sebastian Rolf Kahm

  IRN SRK01060

  • CF30 Customer (17 Sep 2018 to 8 Dec 2019)
• Sheena Pattni

  IRN SXP02097

  • CF30 Customer (17 Jan 2017 to 8 Dec 2019)
• Sophie Elizabeth Maher

  IRN SEM01103

  • CF30 Customer (8 Oct 2013 to 2 Oct 2017)
• Stephan Maurice Morgan

  IRN SMM01107

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Material risk taker (since 31 Mar 2021)
  • CF30 Customer (11 Dec 2007 to 8 Dec 2019)
• Stephane Roland Etroy

  IRN SXE01108

  • CF30 Customer (11 Dec 2007 to 15 Sep 2015)
• Stuart Douglas Simpson

  IRN SDS01037

  • CF1 Director (11 Apr 2011 to 31 Oct 2015)
  • CF30 Customer (11 Dec 2007 to 31 Oct 2015)
• Teresa Guadalupe Bergel San Martin

  IRN TGB01060

  • CF30 Customer (18 Sep 2018 to 8 Dec 2019)
• Thomas Eduard Eberle

  IRN TEE01012

  • CF30 Customer (17 Jul 2012 to 30 Jun 2016)
• Thomas Roland Plant

  IRN TRP01018

  • CF30 Customer (1 Nov 2007 to 29 Mar 2012)
  • CF3 Chief Executive (19 Jul 2005 to 25 Oct 2007)
  • CF8 Apportionment and Oversight (19 Jul 2005 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 2 Mar 2011)
  • CF1 Director (1 Dec 2001 to 29 Mar 2012)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Jun 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Thomas Spencer Patrick

  IRN TSP01028

  • [FCA CF] Significant management (since 31 Mar 2021)
  • [FCA CF] Material risk taker (since 31 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (13 Jul 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Mar 2011 to 8 Dec 2019)
  • CF1 Director (18 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (18 Mar 2011 to 8 Dec 2019)

No changes recorded yet.