Five Arrows Managers LLP

• Principal Place of Business

  6th Floor, Vintners' Place

  68 Upper Thames Street

  London

  EC4V 3BJ

  UNITED KINGDOM

  Phone

  +4402072805000

  Web

  https://www.rothschildandco.com

• Complaints Contact

  6th Floor, Vintners' Place

  68 Upper Thames Street

  London

  EC4V 3BJ

  UNITED KINGDOM

  Phone

  +4402072801028

• Investment Advice (no pensions)

  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

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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, 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

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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, 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

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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, 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

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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, 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

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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.

• Manages Your Portfolio

  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

  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.

• Samuel Stewart

  IRN SXS00899

  • [FCA CF] Client dealing (4 Feb 2022 to 8 Feb 2023)
• Sarah Louise Blomfield

  IRN SLH01060

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Aug 2020)
  • CF10 Compliance Oversight (11 Mar 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Mar 2019 to 8 Dec 2019)
• Savrajpal Singh Sethi

  IRN SSS01089

  • CF30 Customer (21 Jan 2016 to 14 Mar 2016)
• Scott Newman

  IRN SXN06100

  • [FCA CF] Client dealing (18 Jan 2021 to 24 Jun 2022)
  • CF30 Customer (14 Sep 2018 to 8 Dec 2019)
• Shane Lanigan

  IRN SXL01502

  • CF30 Customer (1 Nov 2007 to 13 May 2008)
  • CF27 Investment Management (16 Mar 2006 to 31 Oct 2007)
• Shiqi Shan

  IRN SXS04449

  • [FCA CF] Client dealing (18 Jan 2021 to 8 Feb 2023)
  • CF30 Customer (17 May 2016 to 8 Dec 2019)
• Spencer Martyn Lewis Miller

  IRN SMM01060

  • [FCA CF] Client dealing (since 18 Jan 2021)
  • [FCA CF] Manager of certification employee (18 Jan 2021 to 8 Feb 2023)
  • CF30 Customer (16 Aug 2018 to 8 Dec 2019)
• Stuart John Andrew McQuaid

  IRN SJM01478

  • CF30 Customer (28 Nov 2007 to 10 Jul 2009)
• Teresa Marshall Watkins

  IRN TMW01024

  • CF21 Investment Adviser (25 Nov 2002 to 4 Feb 2005)
• Thomas Artmann

  IRN TXA01681

  • [FCA CF] Client dealing (20 Jul 2022 to 8 Feb 2023)

No changes recorded yet.