Lombard Odier Asset Management (Europe) Limited

• Principal Place of Business

  Lombard Odier Asset Management (Europe) Ltd

  Goldings House

  2 Hays Lane

  London

  Southwark

  SE1 2HB

  UNITED KINGDOM

  Phone

  +442032066000

  Web

  https://am.lombardodier.com/home.html

• Complaints Contact

  Lombard Odier Asset Management (Europe) Ltd

  Goldings House

  2 Hays Lane

  London

  Southwark

  SE1 2HB

  UNITED KINGDOM

  Phone

  +442032066000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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.

• 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.

• 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

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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, 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.

• James Affinito

  IRN JXA00452

  • [FCA CF] Material risk taker (23 May 2022 to 25 Feb 2025)
• James Anthony Bonner

  IRN JAB01584

  • [FCA CF] Material risk taker (since 25 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Sep 2024)
  • SMF16 Compliance Oversight (since 18 Sep 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (6 Jul 2022 to 22 Nov 2022)
  • SMF16 Compliance Oversight (6 Jul 2022 to 22 Nov 2022)
• James Cairns

  IRN JXC01300

  • [FCA CF] Manager of certification employee (20 Mar 2024 to 31 Oct 2025)
  • [FCA CF] Client dealing (1 Dec 2023 to 31 Oct 2025)
• James Colston Ray

  IRN JCR01143

  • CF30 Customer (18 Mar 2011 to 3 Jul 2015)
• James Dominic Brooke

  IRN JDB01094

  • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
• James Grigg

  IRN GXJ01133

  • CF30 Customer (30 Nov 2012 to 10 Jan 2014)
• James Karp

  IRN JXK02221

  • [FCA CF] Client dealing (since 4 Apr 2024)
• James Peter Joseph Paul O'Connor

  IRN JPO01051

  • CF11 Money Laundering Reporting (30 Jan 2012 to 1 Mar 2017)
  • CF10 Compliance Oversight (30 Jan 2012 to 1 Mar 2017)
• Jamie Salt

  IRN JXS15049

  • [FCA CF] Client dealing (since 18 Mar 2021)
  • CF30 Customer (20 May 2019 to 8 Dec 2019)
• Jan Szilagyi

  IRN JXS02482

  • CF30 Customer (9 Jul 2015 to 30 Jan 2019)

No changes recorded yet.