Heptagon Capital LLP

• Principal Place of Business

  63 Brook Street

  London

  W1K 4HS

  UNITED KINGDOM

  Phone

  +4402070701800

  Web

  https://www.heptagon-capital.com

• Complaints Contact

  63 Brook Street

  London

  W1K 4HS

  UNITED KINGDOM

  Phone

  +4402070701800

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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, Retail (Investment), 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

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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, Retail (Investment), 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

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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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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, Retail (Investment), 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

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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

  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.

• Pradeep Kachhala

  IRN PXK01286

  • CF27 Investment Management (17 Oct 2005 to 24 Nov 2006)
  • CF21 Investment Adviser (17 Oct 2005 to 24 Nov 2006)
• Rajaa Mekouar

  IRN RXM01388

  • CF30 Customer (1 May 2014 to 1 Nov 2015)
• Rebecca Abrahams

  IRN RXA02117

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Jul 2016 to 8 Dec 2019)
• Robert Rosenberg

  IRN RXR01368

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF11 Money Laundering Reporting (6 May 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 May 2009 to 8 Dec 2019)
  • CF30 Customer (6 May 2009 to 8 Dec 2019)
• Sebastian Marcus Samuel Hybbinette

  IRN SMH01211

  • CF30 Customer (20 Jan 2011 to 30 Dec 2013)
• Stephen James MacIntyre

  IRN SJM01394

  • CF30 Customer (1 Nov 2007 to 7 Feb 2009)
  • CF27 Investment Management (28 Jun 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (18 Apr 2006 to 7 Feb 2009)
  • CF10 Compliance Oversight (18 Apr 2006 to 7 Feb 2009)
  • CF21 Investment Adviser (18 Apr 2006 to 31 Oct 2007)
• Tabea Kuster

  IRN TXK00258

  • [FCA CF] Client dealing (since 10 May 2024)
• Tapio Petteri Pekkala

  IRN TPP01010

  • CF30 Customer (2 Sep 2008 to 18 Feb 2009)
• Tarek Mooro

  IRN TXM01154

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF11 Money Laundering Reporting (11 Feb 2009 to 23 Apr 2009)
  • CF10 Compliance Oversight (11 Feb 2009 to 23 Apr 2009)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (28 Jul 2005 to 31 Oct 2007)
  • CF4 Partner (28 Jul 2005 to 8 Dec 2019)
  • CF3 Chief Executive (28 Jul 2005 to 8 Dec 2019)
  • CF27 Investment Management (28 Jul 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (28 Jul 2005 to 31 Oct 2007)
• Thomas Hoersman

  IRN TXH01165

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF4 Partner (22 Mar 2013 to 27 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Oct 2005 to 31 Oct 2007)

No changes recorded yet.