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.

• Eamonn Patrick McMahon

  IRN EPM01024

  • CF30 Customer (21 Mar 2014 to 17 May 2016)
• Edward Paul Mally

  IRN EPM01035

  • CF30 Customer (17 Nov 2015 to 8 Dec 2019)
• Emma Katherine McClintock

  IRN EKM01003

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jan 2022)
  • CF10 Compliance Oversight (12 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (8 Feb 2016 to 8 Dec 2019)
• Eric Ohayon

  IRN EXO01020

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Feb 2016 to 8 Dec 2019)
• Erik Jon Hammes

  IRN EXH00085

  • [FCA CF] Client dealing (30 Oct 2020 to 30 Sep 2021)
• Eriko Lavinia Miyazaki-Ross

  IRN ELM01033

  • CF30 Customer (2 Jun 2016 to 8 Dec 2019)
• Ethan Garber

  IRN EXG00178

  • [FCA CF] Client dealing (since 21 Feb 2023)
• Eugene Louis Yurist

  IRN ELY01000

  • CF30 Customer (5 Nov 2015 to 18 Oct 2017)
• Felipe De Vengoechea

  IRN FXD01047

  • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2021)
  • CF30 Customer (5 Nov 2019 to 8 Dec 2019)
• Frederik Mark Guido Luk Verpoest

  IRN FMV01004

  • CF30 Customer (12 Jul 2013 to 24 Apr 2015)

No changes recorded yet.