Gallium P E Depositary Limited

• Principal Place of Business

  Gallium House, Unit 2

  Station Court

  Borough Green

  Sevenoaks

  Kent

  TN15 8AD

  UNITED KINGDOM

  Phone

  +441732882642

• Complaints Contact

  Gallium House Unit 2

  Station Court

  Borough Green

  Sevenoaks

  TN15 8AD

  UNITED KINGDOM

  Phone

  +441732882642

• Private Fund Guardian

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  • · The firm must act as a trustee or depositary only of AIFs of the kind defined in FUND 3.11.12

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, Spread Bet, 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, Spread Bet, 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, Spread Bet, 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, Spread Bet, 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, 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, Spread Bet, 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 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, Spread Bet, 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.

• 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, Spread Bet, 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.

• Anthony Carmelo Norris

  IRN AXN01068

  • SMF1 Chief Executive (9 Dec 2019 to 19 Aug 2020)
  • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jul 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2021)
  • CF10a CASS Oversight function (3 Nov 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Nov 2015 to 8 Dec 2019)
  • CF1 Director (14 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (14 Jul 2014 to 8 Dec 2019)
  • CF3 Chief Executive (14 Jul 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (14 Jul 2014 to 8 Dec 2019)
• Barry Anthony Gowdy

  IRN BAG01035

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jan 2024)
  • SMF16 Compliance Oversight (since 22 Jan 2024)
• Donna Thomas

  IRN DMT01116

  • CF30 Customer (14 Jul 2014 to 8 Dec 2019)
  • CF1 Director (14 Jul 2014 to 10 Sep 2014)
• Emma Alice Layard McCormack

  IRN EAM00024

  • CF30 Customer (31 Aug 2016 to 18 Apr 2017)
• Evelyn Hughes

  IRN EXH01347

  • SMF17 Money Laundering Reporting Officer (MLRO) (16 Nov 2021 to 18 Apr 2023)
  • SMF16 Compliance Oversight (16 Nov 2021 to 18 Apr 2023)
  • [FCA CF] CASS oversight function (1 Jul 2021 to 23 Nov 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 18 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 18 Apr 2023)
  • CF1 Director (25 Apr 2019 to 8 Dec 2019)
• Michael William Bailey

  IRN MXB03819

  • SMF9 Chair of the Governing Body (27 Jul 2020 to 18 Apr 2023)
  • [FCA CF] Significant management (1 Jul 2020 to 18 Apr 2023)
  • CF30 Customer (31 Mar 2016 to 8 Dec 2019)
• Peter Anthony Dooley

  IRN PAD01159

  • SMF3 Executive Director (since 19 Dec 2023)
  • SMF9 Chair of the Governing Body (since 19 Dec 2023)
  • CF1 Director (14 Jul 2014 to 24 Feb 2016)
  • CF10 Compliance Oversight (14 Jul 2014 to 24 Feb 2016)
  • CF30 Customer (14 Jul 2014 to 24 Feb 2016)
• Reuben Brian Skelton

  IRN RBS01075

  • [FCA CF] Client dealing (23 Nov 2021 to 31 Dec 2022)
  • [FCA CF] Significant management (23 Nov 2021 to 31 Dec 2022)
  • SMF3 Executive Director (27 Oct 2021 to 31 Dec 2022)
• Richard James Cooney

  IRN RJC01354

  • [FCA CF] Client dealing (1 Aug 2022 to 31 Dec 2022)
  • [FCA CF] CASS oversight function (23 Nov 2021 to 31 Dec 2022)
  • [FCA CF] Significant management (19 Dec 2019 to 31 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2022)
  • CF1 Director (14 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (14 Jul 2014 to 8 Dec 2019)

No changes recorded yet.