Lombard Odier (Europe) S.A.

• Principal Place of Business

  48 Dover Street

  London

  W1S 4FF

  UNITED KINGDOM

  Phone

  +442032066000

  Web

  https://www.lombardodier.com

• Complaints Contact

  48 Dover Street

  London

  W1S 4FF

  UNITED KINGDOM

  Phone

  +442032066131

• Bank Deposits

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

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • · 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

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Share, 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.

• Cyril Robert Caillault

  IRN RXC01707

  • CF30 Customer (1 Apr 2014 to 17 Dec 2015)
• David Peter Holmes

  IRN DXH69188

  • [FCA CF] Client dealing (3 Jun 2019 to 11 Jan 2024)
• David Stephan

  IRN DXS01346

  • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 31 Jul 2023)
• David Thomas Bell

  IRN DTB01060

  • CF30 Customer (1 Dec 2013 to 6 Mar 2016)
• Dominic James Tremlett

  IRN DJT01241

  • CF29 Significant management (1 Dec 2013 to 31 Dec 2015)
  • CF30 Customer (1 Dec 2013 to 31 Dec 2015)
• Duncan Ban MacIntyre

  IRN DBM01023

  • 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
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
  • SMF19 Head of Overseas Branch/Head of Overseas (1 Sep 2021 to 19 Mar 2025)
  • SMF21 EEA Branch Senior Manager (EBSM) (7 Mar 2016 to 1 Sep 2021)
  • CF29 Significant management (4 Jan 2016 to 6 Mar 2016)
• Duygu Gozeler Porchet

  IRN DXG01669

  • [FCA CF] Functions requiring qualifications (1 Aug 2016 to 31 Oct 2020)
• Dylan Martyn Samuel

  IRN DMS01243

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2016)
• Erik Leon Herbert Mermet

  IRN ELM01039

  • CF30 Customer (1 Dec 2013 to 26 Feb 2016)
• Heidi Edrich Nina Sweetman

  IRN HES01040

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 19 Sep 2017)
  • CF11 Money Laundering Reporting (28 Apr 2014 to 6 Mar 2016)

No changes recorded yet.