ERNST & YOUNG LLP

• Principal Place of Business

  1 More London Place

  London

  SE1 2AF

  UNITED KINGDOM

  Phone

  +442079512000

  Web

  https://www.ey.com

• Complaints Contact

  1 More London Place

  London

  SE1 2AF

  UNITED KINGDOM

  Phone

  +442079512000

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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

  Show 7 limitations Hide limitations

  • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
  • · Limited to advice given to corporate finance businesses to or about small private companies (as defined in section 247 Companies Act 1985) while giving professional advice to or about those companies.
  • · Limited to giving advice on investments which are part of a privatisation or rights issue and where no arrangements in relation to any dealing in those investments are made by the firm.
  • · Limited to giving advice on investments (except life policies) where any transaction in those investments is effected otherwise than as an execution only transaction by a permitted third party (which is an independent intermediary), which permitted third party has an agreement with the client concerned, the existence of which is acknowledged in writing between the firm and the permitted third party.
  • · Limited to giving advice, but not a recommendation, on life policies to a client who has a direct client agreement with a permitted third party (which is an independent intermediary), where arrangements exist for that advice to be reviewed by the permitted third party and any alternative advice offered directly to the client by the permitted third party.
  • · Limited to commenting on advice given to a client by a Permited Third Party.
  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Authorised to Operate

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), 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

  Show 3 limitations Hide limitations

  • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
  • · Limited to where the firm passes on a clients instructions as a disclosed agent for the client to a permitted third party where the firm has obtained advice for the client.
  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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

  Show 1 limitation Hide limitations

  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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

  Show 1 limitation Hide limitations

  • · Carrying this activity in the course of corporate finance business or listing of securities, but the firm must not act as a market maker.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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

  Show 3 limitations Hide limitations

  • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
  • · Limited to where the firm passes on a clients instructions as a disclosed agent for the client to a permitted third party where the firm has obtained advice for the client.
  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Adam Daniels

  IRN AJD01249

  • CF30 Customer (1 Nov 2007 to 12 Mar 2009)
  • CF23 Corporate Finance Adviser (5 Jun 2006 to 31 Oct 2007)
• Adam Emmanuel Shutkever

  IRN AES01055

  • CF23 Corporate Finance Adviser (23 Jan 2002 to 1 Apr 2002)
• Adam James Hylan

  IRN AJH01252

  • CF30 Customer (29 Apr 2014 to 28 Feb 2017)
• Ajay Dodhia

  IRN AXD01381

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 19 Dec 2001)
• Aksana Pekun

  IRN PXA01480

  • CF30 Customer (10 Jan 2012 to 13 Jul 2012)
• Alan Gordon Shanks

  IRN AGS01078

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 5 Feb 2002)
• Alan Martin Line

  IRN AML01170

  • CF30 Customer (2 Sep 2015 to 3 Feb 2017)
• Alan McGuinness

  IRN AXM02960

  • CF28 Systems and controls (10 Feb 2011 to 31 Jan 2018)
• Alan Shaoul

  IRN AXS04234

  • CF30 Customer (14 Sep 2015 to 10 Jun 2016)
• Alasdair Scott

  IRN AXS04654

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 Mar 2017 to 8 Dec 2019)

No changes recorded yet.