Exponent Private Equity LLP

• Principal Place of Business

  Exponent Private Equity

  30 Broadwick Street

  London

  Westminster

  W1F 8JB

  UNITED KINGDOM

  Phone

  +4402078458520

  Web

  https://www.exponentpe.com

• Complaints Contact

  Exponent Private Equity

  30 Broadwick Street

  London

  Westminster

  W1F 8JB

  UNITED KINGDOM

  Phone

  +4402078458520

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

• 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, 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, 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, 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, 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, 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Holds Your Assets

  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, Unit, Warrant

• . Exponent Private Equity (Holdings) LLP

  IRN XXS01020

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (17 Jun 2004 to 8 Dec 2019)
• Anthony Clegg

  IRN AXC02174

  • SMF27 Partner (since 1 Apr 2025)
  • [FCA CF] Client dealing (since 9 Jan 2025)
• Christopher Michael Graham

  IRN CMG01058

  • SMF27 Partner (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (17 Jun 2004 to 8 Dec 2019)
  • CF27 Investment Management (17 Jun 2004 to 31 Oct 2007)
• Craig McKenzie Vickery

  IRN CMV01018

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (2 Jun 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (9 Sep 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (9 Sep 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Sep 2005 to 8 Dec 2019)
• David McGovern

  IRN DXM00543

  • SMF27 Partner (since 3 Apr 2023)
  • [FCA CF] Client dealing (since 1 Jul 2021)
• Hugh Francis Richards

  IRN HFR01004

  • CF30 Customer (1 Nov 2007 to 30 Jun 2016)
  • CF4 Partner (17 Jun 2004 to 30 Jun 2016)
  • CF8 Apportionment and Oversight (17 Jun 2004 to 31 Mar 2009)
  • CF3 Chief Executive (17 Jun 2004 to 1 Jan 2016)
  • CF27 Investment Management (17 Jun 2004 to 31 Oct 2007)
• James Michael Gunton

  IRN JXG00302

  • SMF27 Partner (since 21 Dec 2021)
  • [FCA CF] Client dealing (since 1 Feb 2020)
• James Richard St John Lenane

  IRN JRL01094

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF3 Chief Executive (4 Jan 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (30 Apr 2007 to 31 Oct 2007)
  • CF4 Partner (10 Feb 2006 to 8 Dec 2019)
• Jeroen Bernard Sebastian Regeur

  IRN JBR01061

  • SMF27 Partner (since 29 Nov 2023)
  • [FCA CF] Client dealing (since 1 Sep 2022)
• John Gerard Moore

  IRN JGM01172

  • SMF27 Partner (9 Dec 2019 to 30 Jun 2022)
  • CF4 Partner (1 Jan 2017 to 8 Dec 2019)

No changes recorded yet.