Citigroup Global Markets Limited

• Principal Place of Business

  Citigroup Centre

  Canada Square

  London

  E14 5LB

  UNITED KINGDOM

  Phone

  +440800005500

  Web

  https://www.citigroup.com

• Complaints Contact

  Citigroup Centre

  Canada Square

  London

  E14 5LB

  UNITED KINGDOM

  Phone

  +440800005500

• Private Fund Guardian

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  • · General limitation The firm can perform only the depositary functions specified. Article 21(8)(a) The firm may act as trustee or depositary of non-EEA AIFs performing the safekeeping function under Article 21(8)(a) of AIFMD.

• Financial Benchmarks

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Alternative Debenture, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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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  • · 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 Commercial, Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · 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.

• Carbon Auction Bidding

  For Eligible Counterparty, Professional, Emissions Auction Product

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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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  • · 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 Commercial, Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Alastair James Sword

  IRN AJS01280

  • CF21 Investment Adviser (1 Dec 2001 to 26 May 2005)
• Alastair Matthew Sandler

  IRN AMS01248

  • [FCA CF] Client dealing (21 Sep 2022 to 13 Jan 2025)
• Alastair Roderick Syme

  IRN ARS01047

  • [FCA CF] Manager of certification employee (since 4 Jul 2018)
  • [FCA CF] Client dealing (since 16 Jun 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Aug 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Aug 2023)
  • CF30 Customer (17 Jan 2011 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 24 Jun 2002)
• Alastair Rose-Smith

  IRN ASR01062

  • [FCA CF] Client dealing (7 Mar 2016 to 21 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (19 Jan 2007 to 31 Oct 2007)
• Alastair Thomas Atkinson

  IRN ATA01006

  • CF21 Investment Adviser (1 Dec 2001 to 6 Apr 2006)
• Alba Fernandez Barrerios

  IRN AXF01926

  • [FCA CF] Client dealing (10 May 2018 to 30 Apr 2024)
• Alban Guillaume Luc Lhonneur

  IRN AGL01045

  • CF30 Customer (1 Nov 2007 to 2 Jun 2008)
  • CF21 Investment Adviser (25 Oct 2006 to 31 Oct 2007)
• Alban Vauterin

  IRN AAV01010

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 19 Jul 2022)
  • [FCA CF] Client dealing (7 Mar 2016 to 30 Apr 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 26 Jan 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 19 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
• Albert Michael

  IRN AXM01407

  • [FCA CF] Client dealing (since 15 Dec 2022)
• Albert Plattner

  IRN AXP01299

  • CF30 Customer (1 Nov 2007 to 9 Dec 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.