Imperial Capital (International) LLP

• Principal Place of Business

  82 Dean Street

  London

  Westminster

  W1D 3SP

  UNITED KINGDOM

  Phone

  +4402076505400

  Web

  https://www.imperialcapital.com

• Complaints Contact

  82 Dean Street

  London

  Westminster

  W1D 3SP

  UNITED KINGDOM

  Phone

  +4402076505400

• 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.

• Trades With You Directly

  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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• 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

  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.

• . Imperial Capital (Holdings) Ltd

  IRN XXI01048

  • SMF27 Partner (9 Dec 2019 to 9 Dec 2019)
  • CF4 Partner (2 Jan 2013 to 8 Dec 2019)
• Aaron Schatzow

  IRN AXS03793

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (4 Mar 2015 to 8 Dec 2019)
• Alan Anthony Pierce

  IRN ATP01012

  • CF30 Customer (15 Aug 2013 to 22 May 2018)
• Alejandro Gutierrez Rubino

  IRN AXG01710

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Aug 2013 to 6 May 2016)
• Alexander Erik Axel Norberg

  IRN AEN00020

  • [FCA CF] Client dealing (5 Mar 2021 to 27 Feb 2026)
  • CF30 Customer (10 Feb 2014 to 8 Feb 2018)
• Alexander Mallinson

  IRN AXM01850

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Nov 2023)
  • CF30 Customer (17 Oct 2019 to 8 Dec 2019)
• Andre Luiz Rizzo

  IRN ALR01069

  • CF30 Customer (2 Jun 2016 to 19 Jul 2017)
• Andrea Pascal Xavier Gredy

  IRN AXG02239

  • [FCA CF] Client dealing (8 Feb 2024 to 15 Mar 2025)
• Andrew Emil Darcy

  IRN AXD00294

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2023)
• Andrew Roy Weller

  IRN ARW01111

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Apr 2022)

No changes recorded yet.