Guy Butler Limited

• Principal Place of Business

  Guy Butler Ltd

  14th Floor Dashwood House

  69 Old Broad Street

  London

  City Of London

  EC2M 1QS

  UNITED KINGDOM

  Phone

  +4402088282200

  Web

  https://www.guybutler.co.uk

• Complaints Contact

  14th Floor Dashwood House

  69 Old Broad Street

  London

  EC2M 1QS

  UNITED KINGDOM

  Phone

  +4402088282200

• 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, 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, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Share, Unit

• Arranges Asset Safekeeping

  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), Personal pension scheme, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Share, Unit

• Michael Thomas Gibbons

  IRN MTG01017

  • CF30 Customer (20 Oct 2011 to 16 May 2014)
• NICHOLAS JAMES DARGAN

  IRN NJD01143

  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • SMF3 Executive Director (since 14 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (3 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Dec 2018 to 8 Dec 2019)
• Nicholas James Bruell

  IRN NJB01111

  • CF11 Money Laundering Reporting (16 Sep 2009 to 23 Jan 2013)
  • CF1 Director (12 Aug 2009 to 11 Jan 2018)
  • CF30 Customer (15 Apr 2008 to 14 Sep 2009)
  • CF29 Significant management (15 Apr 2008 to 25 Aug 2009)
• Pamela Margaret Donnison

  IRN PMB01082

  • CF10 Compliance Oversight (2 Aug 2004 to 11 Aug 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Aug 2006)
• Patrick James Power

  IRN PJP01047

  • CF30 Customer (2 Jan 2019 to 8 Apr 2019)
• Patrick Silva Santos

  IRN PSS01099

  • CF30 Customer (18 Feb 2011 to 31 May 2011)
• Paul William Curtis-Hayward

  IRN PWC01026

  • [FCA CF] Client dealing (since 30 Sep 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 25 Aug 2009)
  • CF29 Significant management (1 Nov 2007 to 25 Aug 2009)
  • CF11 Money Laundering Reporting (10 Aug 2006 to 25 Aug 2009)
  • CF10 Compliance Oversight (10 Aug 2006 to 11 Jun 2010)
  • CF13 Finance (10 Aug 2006 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (10 Aug 2006 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 25 Aug 2009)
• Penelope Anne Fitzherbert

  IRN PAF01118

  • [FCA CF] Client dealing (since 30 Sep 2020)
  • CF30 Customer (14 Apr 2010 to 8 Dec 2019)
• Peter Keith Evans

  IRN PKE01004

  • [FCA CF] Client dealing (since 30 Sep 2020)
  • [FCA CF] Material risk taker (since 30 Sep 2020)
  • [FCA CF] Proprietary trader (since 30 Sep 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (8 Jun 2010 to 23 Mar 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (12 Sep 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Philip Mathew Thompson

  IRN PMT01049

  • [FCA CF] Client dealing (since 30 Sep 2020)
  • CF30 Customer (14 Apr 2008 to 8 Dec 2019)

No changes recorded yet.