Cross Ocean Adviser LLP

• Principal Place of Business

  Cross Ocean Adviser LLP

  2 St James's Market

  London

  London

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +442076536206

  Web

  https://www.crossoceanpartners.com

• Complaints Contact

  Cross Ocean Adviser LLP

  2 St James's Market

  London

  London

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +442076536206

• 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, Spread Bet, 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 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, Spread Bet, 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.

• 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, Spread Bet, 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.

• 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, Spread Bet, 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 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, Spread Bet, 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.

• Manages Your Portfolio

  For 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, Spread Bet, 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.

• Hugh Alexander Phillips

  IRN HXP18444

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (16 Oct 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Oct 2019 to 8 Dec 2019)
• Mark Thomas Berry

  IRN MXB01504

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Jan 2023)
  • SMF27 Partner (9 Dec 2019 to 10 Jan 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Jan 2023)
  • CF4 Partner (1 Feb 2017 to 8 Dec 2019)
  • CF30 Customer (1 Feb 2017 to 8 Dec 2019)
• Nicholas David Russell

  IRN NDR01042

  • CF11 Money Laundering Reporting (1 Feb 2017 to 21 Jul 2017)
  • CF10 Compliance Oversight (1 Feb 2017 to 21 Jul 2017)
• Nicholas Ian Humphrey ap Simon

  IRN NIA01000

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (28 Nov 2017 to 8 Dec 2019)
• Steven Warburton Heanly

  IRN SWH01037

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2017 to 8 Dec 2019)
  • CF4 Partner (1 Feb 2017 to 8 Dec 2019)

No changes recorded yet.