Credit Agricole Corporate and Investment Bank

• Principal Place of Business

  Broadwalk House

  5 Appold Street

  London

  EC2A 2DA

  UNITED KINGDOM

  Phone

  +442072145000

  Web

  http://www.ca-cib.com

• Complaints Contact

  Broadwalk House

  5 Appold Street

  London

  EC2A 2DA

  UNITED KINGDOM

  Phone

  +442072145000

• Bank Deposits

  For Professional, Deposit

• Investment Advice (no pensions)

  For 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, 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, Warrant

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in Article 25(2) of the RAO - making arrangements with a view to transactions being made and in Art 630 of the RAO - providing information in relation to a specified benchmark

• Arranges Investments

  For 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, 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, Warrant

  Show 1 limitation Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances’.

• Arranges Asset Safekeeping

  For 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, 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, Warrant

• Stockbroking

  For 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, 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, Warrant

  Show 1 limitation Hide limitations

  • · Retail Client Restriction - When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.

• Trades With You Directly

  For 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, 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, Warrant

  Show 2 limitations Hide limitations

  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • · Retail Client Restriction - When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.

• Investment Setup

  For 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, 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, Warrant

  Show 1 limitation Hide limitations

  • · Retail Client Restriction - When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.

• Manages Your Portfolio

  For 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, 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, Warrant

• Holds Your Assets

  For 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, 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, Warrant

• Electronic Trade Settlement

  For 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, 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, Warrant

• David Kenneth Grundy

  IRN DKG01008

  • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
  • CF21 Investment Adviser (21 Dec 2006 to 31 Oct 2007)
• David Lloyd Cohen

  IRN DLC01037

  • CF21 Investment Adviser (26 May 2006 to 16 Jul 2007)
• David Maisant

  IRN DXM01977

  • [FCA CF] Material risk taker (16 Dec 2022 to 1 Jan 2025)
  • [FCA CF] Significant management (1 Feb 2021 to 1 Jan 2025)
  • [FCA CF] Client dealing (23 Mar 2016 to 1 Jan 2025)
  • [FCA CF] Manager of certification employee (23 Mar 2016 to 1 Jan 2025)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
• David Martin Thursfield

  IRN DMT01054

  • [FCA CF] Material risk taker (10 Nov 2020 to 8 Feb 2023)
  • [FCA CF] Manager of certification employee (10 Sep 2018 to 8 Feb 2023)
  • [FCA CF] Client dealing (10 Sep 2018 to 8 Feb 2023)
• David Michalon

  IRN DXM02050

  • CF30 Customer (11 Feb 2008 to 28 Oct 2009)
• David Milton Foster

  IRN DMF01047

  • CF21 Investment Adviser (1 May 2004 to 15 Aug 2006)
• David Mitchell

  IRN DJM01622

  • [FCA CF] Material risk taker (since 8 Nov 2024)
  • [FCA CF] Significant management (since 5 Jul 2023)
  • [FCA CF] Manager of certification employee (since 17 Sep 2019)
  • [FCA CF] Client dealing (since 2 Oct 2018)
• David Naville

  IRN DXN01096

  • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2004)
• David Philip Lewis

  IRN DPL01020

  • CF21 Investment Adviser (1 May 2004 to 31 Jan 2005)
• David Robert James Bernau

  IRN DRB01157

  • CF30 Customer (1 Nov 2007 to 8 Jun 2011)
  • CF21 Investment Adviser (28 Jun 2007 to 31 Oct 2007)

No changes recorded yet.