First Equity Limited

• Principal Place of Business

  First Equity Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +4402073742212

  Web

  https://www.firstequitylimited.com

• Complaints Contact

  First Equity Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +4402073742212

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments, 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 (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  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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  • · 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, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments, 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 (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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

  • · 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.

• Paul Charles Varnavides

  IRN PCV01002

  • CF30 Customer (5 Jan 2012 to 8 Oct 2012)
• Paul Michael Henry

  IRN PMH01060

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF14 Risk Assessment (18 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Mar 2010)
  • CF10 Compliance Oversight (1 Dec 2001 to 24 May 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
• Peter Graham Comrie

  IRN PGC01038

  • CF30 Customer (21 Nov 2013 to 19 Aug 2015)
• Peter Jeremy Lock

  IRN PJL01215

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF28 Systems and controls (12 Jul 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Jul 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Jul 2011 to 8 Dec 2019)
  • CF1 Director (12 Jul 2011 to 8 Dec 2019)
• Peter Leonard George Cotgrove

  IRN PLC01023

  • CF27 Investment Management (22 Sep 2005 to 30 Sep 2006)
  • CF21 Investment Adviser (22 Sep 2005 to 30 Sep 2006)
  • CF26 Customer Trading (22 Sep 2005 to 30 Sep 2006)
• Philip Fotheringham

  IRN PXF01098

  • CF11 Money Laundering Reporting (17 Mar 2010 to 30 Sep 2011)
  • CF28 Systems and controls (1 Nov 2007 to 30 Sep 2011)
  • CF1 Director (1 Aug 2002 to 30 Sep 2011)
  • CF13 Finance (1 Aug 2002 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Aug 2002 to 30 Sep 2011)
• Richard Francis John Atkinson

  IRN RFA01008

  • CF21 Investment Adviser (1 Dec 2001 to 11 Jun 2002)
• Samir Lakha

  IRN SXL01518

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
• Simon Anthony Cowan

  IRN SAC01082

  • CF28 Systems and controls (1 Nov 2007 to 4 Apr 2008)
  • CF30 Customer (1 Nov 2007 to 4 Apr 2008)
  • CF14 Risk Assessment (11 May 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (11 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 4 Apr 2008)
• Simon Edward Murphy

  IRN SEM01048

  • CF21 Investment Adviser (1 Dec 2001 to 11 Oct 2002)

• Capital Partners Securities Ltd (no longer appointed)

  FRN 455111 · Appointed 25 Jul 2006 · Until 30 Oct 2008

• HCM Asset Management Ltd (no longer appointed)

  FRN 402512 · Appointed 19 Sep 2005 · Until 31 Jul 2009

• Vintage AM Limited (no longer appointed)

  FRN 439551 · Appointed 19 Sep 2005 · Until 5 Oct 2010

No changes recorded yet.