Forvis Mazars Corporate Finance Limited

• Principal Place of Business

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402070634000

  Web

  https://www.forvismazars.com/uk/en

• Complaints Contact

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402070634000

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" 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), 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.

• Runs Investment Funds

• Investment Setup

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

  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.

• 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), 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Adrian John Alexander

  IRN AXA01279

  • CF1 Director (27 Nov 2015 to 20 Oct 2017)
  • CF10 Compliance Oversight (7 Jun 2013 to 31 Oct 2017)
  • CF30 Customer (1 Nov 2007 to 20 Oct 2017)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Alexandra Frances Kingston

  IRN AFK01032

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 May 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Jan 2013 to 10 May 2013)
• Alistair John Fraser

  IRN AJF01212

  • CF1 Director (5 Jan 2018 to 30 Sep 2019)
• Andrew John Millington

  IRN AJM01328

  • CF30 Customer (1 Nov 2007 to 26 Oct 2012)
  • CF27 Investment Management (13 Apr 2007 to 31 Oct 2007)
  • CF3 Chief Executive (24 Oct 2006 to 26 Oct 2012)
  • CF8 Apportionment and Oversight (3 Feb 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (3 Feb 2005 to 1 Mar 2008)
  • CF1 Director (3 Feb 2005 to 26 Oct 2012)
  • CF23 Corporate Finance Adviser (16 Aug 2002 to 31 Oct 2007)
• Caroline Gill

  IRN CXH01734

  • SMF16 Compliance Oversight (23 Sep 2021 to 28 Feb 2025)
• Carolyn O'Brien

  IRN CXF00055

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2021)
  • CF10 Compliance Oversight (3 Nov 2017 to 8 Dec 2019)
• Clive Richard Hounsfield

  IRN CRH01073

  • CF1 Director (1 Dec 2001 to 31 Aug 2002)
• David George Chapman

  IRN DXC01479

  • CF30 Customer (1 Nov 2007 to 12 Dec 2008)
  • CF27 Investment Management (13 Apr 2007 to 31 Oct 2007)
  • CF1 Director (25 Oct 2002 to 12 Dec 2008)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• David John Evans

  IRN DXE01096

  • CF30 Customer (1 Nov 2007 to 12 Dec 2008)
  • CF1 Director (6 Oct 2006 to 11 Feb 2010)
  • CF3 Chief Executive (11 Oct 2002 to 6 Oct 2006)
  • CF8 Apportionment and Oversight (11 Oct 2002 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• David Smithson

  IRN DXS01455

  • CF30 Customer (1 Nov 2007 to 13 Feb 2009)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.