Finantia UK Limited

• Principal Place of Business

  Finantia UK Ltd

  10-11 Austin Friars

  London

  City Of London

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +442073825200

  Web

  https://www.finantia.com

• Complaints Contact

  Finantia UK Ltd

  10-11 Austin Friars

  London

  City Of London

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +442073825200

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), 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.

• 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), Share, Unit, Warrant

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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "warrant", "certificate representing certain security", "unit" , "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · 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, Debenture, Government and public security, Rights to or interests in investments (Security)

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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), Spread Bet

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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, 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), 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.

• Dennis Masich

  IRN DXM01990

  • CF30 Customer (1 Nov 2007 to 31 Jan 2009)
  • CF21 Investment Adviser (8 May 2007 to 31 Oct 2007)
• Diogo Alexandre Dos Santos Silva

  IRN DAD01126

  • CF30 Customer (1 Oct 2014 to 20 Sep 2016)
• Eduardo Jose De Belem Garcia E Costa

  IRN EJD01020

  • CF1 Director (1 Dec 2001 to 1 Jul 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Elizabeth Ann Sabados

  IRN EAS01064

  • CF30 Customer (1 Nov 2007 to 31 May 2008)
  • CF21 Investment Adviser (11 Apr 2007 to 31 Oct 2007)
• Elvira Bobillo Carballo

  IRN EXB01462

  • CF30 Customer (24 Aug 2011 to 3 May 2012)
• Gabriele Elisabeth Werdek

  IRN GEW01022

  • CF21 Investment Adviser (13 Dec 2004 to 28 Feb 2007)
• Gino Paolo Giuseppe Poconi

  IRN GPP01006

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Jan 2013 to 8 Dec 2019)
• Julia Yurievna Zvereva

  IRN JXZ01020

  • CF21 Investment Adviser (13 Dec 2004 to 28 Feb 2007)
• Karen Julie King

  IRN KXK17298

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (21 Aug 2019 to 8 Dec 2019)
• Maria Luisa Falcão Antas

  IRN MLA01024

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.