DTCC ITP (UK) LIMITED

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Addresses

The contact details this firm has registered with the FCA.

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

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

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

Martin Brennan
IRN MXB02440
- CF1 Director (20 May 2008 to 31 Jan 2011)
Michael Turner
IRN MXT02256
- SMF16 Compliance Oversight (9 Dec 2019 to 3 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Nov 2023)
- CF10 Compliance Oversight (7 Nov 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (7 Nov 2016 to 8 Dec 2019)
Richard John Hughes
IRN RJH01236
- CF1 Director (1 Dec 2001 to 4 Mar 2005)
Ronaldo Mancera Cifuentes
IRN RXM00698
- SMF16 Compliance Oversight (since 2 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Nov 2023)
Simon John James Farrington
IRN SJF01205
- CF1 Director (20 May 2008 to 17 Apr 2015)
Stuart Vaughan Hood
IRN SVH01011
- CF1 Director (22 Jul 2008 to 14 Jan 2016)
Valentino Wotton
IRN VXW01070
- SMF29 Limited scope function (limited scope SMCR firms only) (since 5 Oct 2023)
Valerie Harahush
IRN VXH01138
- CF1 Director (14 Jan 2016 to 8 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.