Coller Capital Limited

Date authorised
1 April 2013
Companies House
03020017
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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
    • · 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 2 limitations
    • · 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.

  • Investment Setup

    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 2 limitations
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Fabrizio Zaffo

    IRN FXZ01050

    • [FCA CF] Significant management (since 30 Mar 2022)
  • Francois Dominique Aguerre

    IRN FDA01001

    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (3 Apr 2008 to 8 Dec 2019)
  • Frank Morgan

    IRN FXM00113

    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2021)
  • Frank Ochsenfeld

    IRN FXO01135

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
  • Gavin Elizabeth Sullivan

    IRN GXS00714

    • [FCA CF] Significant management (since 1 Jan 2024)
  • Gerald Alexander Carton

    IRN GAC01130

    • [FCA CF] Client dealing (since 30 Mar 2021)
    • CF30 Customer (25 Oct 2010 to 8 Dec 2019)
  • Giles Sebastian Lawson

    IRN GSL01061

    • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
  • Giovanni Davide Orsi

    IRN GDO01012

    • CF30 Customer (26 Oct 2010 to 27 Nov 2017)
  • Gregor Alexander Von Deuten

    IRN GAV01011

    • CF30 Customer (9 May 2018 to 8 Dec 2019)
  • Hani El Khoury

    IRN HXE01056

    • [FCA CF] Client dealing (since 30 Mar 2021)
    • CF30 Customer (4 Mar 2015 to 8 Dec 2019)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • MLC 50 LLP (no longer appointed)

    FRN 501691 · Appointed 28 May 2009 · Until 1 Apr 2015

  • Coller IP Capital Ltd (no longer appointed)

    FRN 464980 · Appointed 8 Mar 2007 · Until 19 Jun 2008

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.