Liquidnet Europe Limited

• Principal Place of Business

  TP ICAP, 135 Bishopsgate,

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402072007000

  Web

  https://tpicap.com/tpicap/

• Complaints Contact

  TP ICAP, 135 Bishopsgate,

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402072007000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), 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.

• 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), 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.

• 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), Share, Unit

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.
  • · 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, 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, 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.

• Trading Platform

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Joanna Mary Meager

  IRN JMM01281

  • Director of firm who is not a certification employee or a SMF manager (since 1 Nov 2023)
• Joe FARRANDS

  IRN JRF01120

  • [FCA CF] Client dealing (since 14 Apr 2021)
  • [FCA CF] Manager of certification employee (since 14 Apr 2021)
• Joe Fields

  IRN JXF00243

  • [FCA CF] Algorithmic trading (9 Dec 2019 to 24 Jan 2022)
• John Kelly

  IRN JXK01729

  • CF1 Director (9 Aug 2012 to 25 Jul 2014)
• John Robert Mark Barker

  IRN JRB01193

  • CF30 Customer (1 Nov 2007 to 4 May 2012)
  • CF26 Customer Trading (15 Jan 2003 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 4 May 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 4 May 2012)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Mar 2009)
• Jonathan Gray

  IRN JXG01441

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Jan 2024)
  • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
• Julie Ann Jack

  IRN JAJ01105

  • [FCA CF] Material risk taker (29 Mar 2023 to 31 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (29 Mar 2023 to 1 Apr 2026)
• Julien Christopher Jack Fougere

  IRN JCF01029

  • CF30 Customer (7 Jun 2013 to 30 May 2014)
• Kevin Mark Lupowitz

  IRN KML01057

  • CF1 Director (15 Jan 2010 to 11 Feb 2011)
• Lara Jacobs

  IRN LXJ00071

  • [FCA CF] Client dealing (1 Oct 2020 to 19 Jul 2024)

No changes recorded yet.