Keith Bayley Rogers & Co Limited

• Principal Place of Business

  83 Victoria Street

  London

  SW1H 0HW

  UNITED KINGDOM

  Phone

  +4402074644090

  Web

  https://www.kbrl.co.uk

• Complaints Contact

  83 Victoria Street

  London

  EC2R 8AY

  UNITED KINGDOM

  Phone

  +4402074644090

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations 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.
  • · The firm is limited to corporate finance business when advising retail clients

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, 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 Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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.

• Brinsley Richard Holman

  IRN BRH01028

  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (24 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Aug 2015 to 8 Dec 2019)
  • CF1 Director (26 Sep 2013 to 8 Dec 2019)
  • CF30 Customer (19 Jul 2010 to 8 Dec 2019)
• Bruce McKenzie Douglas Durkie

  IRN BMD01017

  • CF21 Investment Adviser (1 Dec 2001 to 3 Dec 2004)
• Charles Vintcent

  IRN CXV01013

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• Clive Barrington Callow

  IRN CBC01015

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• David George Holman

  IRN DGH01059

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• David Hall

  IRN DXH01306

  • CF21 Investment Adviser (1 Dec 2001 to 15 Feb 2002)
• David John Hall

  IRN DJH00138

  • CF10a CASS Oversight function (20 Feb 2013 to 30 Jan 2014)
  • CF11 Money Laundering Reporting (28 Jul 2006 to 30 Apr 2008)
  • CF10 Compliance Oversight (28 Jul 2006 to 29 Jan 2015)
• David Leslie Coffman

  IRN DLC01043

  • CF30 Customer (26 Jun 2009 to 10 Mar 2014)
• David Michael Robert Fraser

  IRN DMF01023

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
  • CF27 Investment Management (1 Dec 2001 to 5 Apr 2004)
• David Moses Gelber

  IRN DXG01235

  • CF2 Non Executive Director (18 Dec 2009 to 24 Jun 2013)

No changes recorded yet.