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

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  • · 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

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  • · 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.

• Christopher Charles William Anderson

  IRN CCA01020

  • CF10 Compliance Oversight (4 Jul 2006 to 30 Mar 2012)
  • CF11 Money Laundering Reporting (4 Jul 2006 to 30 Mar 2012)
• Christopher Durling

  IRN CXD00131

  • [FCA CF] Client dealing (1 Oct 2020 to 31 Dec 2020)
• Christopher Ian Bill

  IRN CIB01014

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 14 Jun 2002)
• Christopher Michael Lowe

  IRN CML01092

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Oct 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Oct 2023)
  • CF30 Customer (24 Nov 2009 to 8 Dec 2019)
• Christopher Thomas

  IRN CLT01030

  • CF10 Compliance Oversight (26 Apr 2012 to 30 Jun 2016)
  • CF11 Money Laundering Reporting (26 Apr 2012 to 30 Jun 2016)
• Clive Ward

  IRN CXW01271

  • CF10 Compliance Oversight (6 Jan 2003 to 30 Jun 2006)
  • CF11 Money Laundering Reporting (6 Jan 2003 to 30 Jun 2006)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 13 Feb 2006)
• Colin Charles Smith

  IRN CCS01029

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Dec 2001)
• Colin David Leslie

  IRN CDL01031

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 10 Jan 2003)
• Colin George

  IRN CXG00312

  • [FCA CF] Client dealing (since 20 Jan 2022)
• Colin Pickard

  IRN CXP06089

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (2 Oct 2018 to 8 Dec 2019)

No changes recorded yet.