Harwood Capital LLP

• Principal Place of Business

  6 Stratton Street

  Mayfair

  London

  W1J 8LD

  UNITED KINGDOM

  Phone

  +4402076403200

  Web

  https://www.harwoodcapital.co.uk

• Complaints Contact

  6 Stratton St

  Mayfair

  London

  W1J 8LD

  UNITED KINGDOM

  Phone

  +4402076403200

• P2P Lending Advice

  For Professional

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, 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 Professional, Certificates representing certain security, 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 Professional, Certificates representing certain security, 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 Professional, Certificates representing certain security, 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.

• Investment Setup

  For Professional, Certificates representing certain security, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, 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.

• Holds Your Assets

  For Professional, Certificates representing certain security, 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.

• Richard Peter Philbin

  IRN RPP01023

  • CF30 Customer (7 May 2013 to 4 Apr 2016)
• Robert George Barrett

  IRN RGB01048

  • CF10 Compliance Oversight (3 Oct 2011 to 31 Mar 2012)
  • CF11 Money Laundering Reporting (23 Sep 2003 to 31 Mar 2006)
• Russell Grant Penn

  IRN RXP01360

  • CF30 Customer (1 Nov 2007 to 16 Jul 2010)
  • CF26 Customer Trading (9 Jan 2007 to 31 Oct 2007)
• Ryan David Douglas Corton

  IRN RDC01061

  • CF11 Money Laundering Reporting (23 Jan 2018 to 25 Jul 2018)
  • CF10 Compliance Oversight (23 Jan 2018 to 25 Jul 2018)
  • CF28 Systems and controls (26 Oct 2012 to 25 Jul 2018)
  • CF10a CASS Oversight function (19 Jan 2012 to 25 Jul 2018)
  • CF29 Significant management (7 Oct 2011 to 25 Jul 2018)
  • CF30 Customer (29 Apr 2010 to 25 Jul 2018)
• Simon Peter Gartery

  IRN SPG01119

  • CF30 Customer (23 Apr 2010 to 14 Nov 2011)
• Stavros Jones

  IRN SXJ01320

  • SMF27 Partner (since 20 Dec 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (18 Apr 2012 to 4 Apr 2014)
  • CF30 Customer (6 Oct 2011 to 8 Dec 2019)
  • CF26 Customer Trading (13 Sep 2006 to 31 Oct 2007)
• Stuart Guy Widdowson

  IRN SGW01062

  • CF4 Partner (7 Aug 2017 to 10 May 2019)
  • CF30 Customer (7 Aug 2017 to 10 May 2019)
• Suzanne Louise McCabe

  IRN SLM01124

  • CF30 Customer (23 Apr 2010 to 12 Nov 2012)
• Syed Arafat Hussain Shah

  IRN SAS01323

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (6 Nov 2018 to 8 Dec 2019)
  • CF10a CASS Oversight function (6 Nov 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Nov 2018 to 8 Dec 2019)
• Timothy James Sturm

  IRN TJS01137

  • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2022)
  • SMF27 Partner (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2022)
  • CF4 Partner (30 Jun 2009 to 8 Dec 2019)
  • CF30 Customer (8 Jul 2008 to 8 Dec 2019)

• Harwood Private Capital LLP (no longer appointed)

  FRN 809216 · Appointed 16 May 2018 · Until 1 Feb 2019

No changes recorded yet.