IPS Capital LLP

• Principal Place of Business

  I P S Capital LLP

  4 Eastcheap

  London

  City Of London

  EC3M 1AE

  UNITED KINGDOM

  Phone

  +442074696830

  Web

  https://www.ipscap.com

• Complaints Contact

  I P S Capital LLP

  4 Eastcheap

  London

  City Of London

  EC3M 1AE

  UNITED KINGDOM

  Phone

  +442074696830

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), 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), 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 Professional, Retail (Investment), 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), 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), 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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• . IPS Consulting Limited

  IRN XXI01011

  • CF4 Partner (6 Nov 2007 to 31 Mar 2015)
• Anna Gillespie

  IRN AXG00947

  • [FCA CF] Functions requiring qualifications (1 Sep 2024 to 27 Jun 2025)
• Anne Elizabeth McClean

  IRN AEH01057

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Significant management (since 31 Jan 2023)
  • [FCA CF] Client dealing (since 31 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2023)
• Catherine Sian Fennell

  IRN CSF01027

  • SMF27 Partner (9 Dec 2019 to 5 Sep 2023)
  • CF4 Partner (6 Nov 2007 to 8 Dec 2019)
• Christopher Anthony Brown

  IRN CAB01168

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (24 May 2010 to 30 Jun 2011)
  • CF30 Customer (18 Dec 2009 to 8 Dec 2019)
  • CF4 Partner (1 Nov 2009 to 8 Dec 2019)
• Elizabeth Fuller

  IRN EXF00004

  • CF11 Money Laundering Reporting (6 Nov 2007 to 22 Mar 2010)
  • CF4 Partner (6 Nov 2007 to 31 May 2010)
  • CF30 Customer (6 Nov 2007 to 30 Jun 2010)
• Gary Joseph Dell

  IRN GXD01250

  • CF30 Customer (6 Nov 2007 to 20 Aug 2019)
• Guy Douglas Malcolm Shirley

  IRN GDS01080

  • [FCA CF] Significant management (9 Dec 2019 to 7 Mar 2024)
• Joanna Mary Blain

  IRN JMB01395

  • SMF27 Partner (9 Dec 2019 to 5 Sep 2023)
  • CF4 Partner (6 Nov 2007 to 8 Dec 2019)
• Jonathan Charles Blain

  IRN JCB00031

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 3. Giving personal recommendations on derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (6 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (6 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Nov 2007 to 30 Sep 2018)
  • CF10 Compliance Oversight (6 Nov 2007 to 30 Oct 2013)

No changes recorded yet.