Mariana UFP LLP

• Principal Place of Business

  Mariana U F P LLP

  Religare House

  100 Cannon Street

  London

  City Of London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +442070656600

  Web

  https://www.marianaufp.com

• Complaints Contact

  Mariana U F P LLP

  Religare House

  100 Cannon Street

  London

  City Of London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +442070656600

• 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), 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.

• 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, Structured Deposits, 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, 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), 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.

• 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, 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.

• 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, Life Policy, 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• 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, Structured Deposits, 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), 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.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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)

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  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.
  • · 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.

• Jason Clive Charles Rush

  IRN JCR01064

  • [FCA CF] Client dealing (31 Mar 2022 to 7 Oct 2022)
  • CF30 Customer (20 Feb 2013 to 1 Apr 2022)
• Jason Daniel Wells

  IRN JDW01075

  • [FCA CF] Client dealing (since 29 Sep 2021)
• Jean-Yves Aknin

  IRN JYA01005

  • [FCA CF] Client dealing (since 29 Jun 2020)
  • [FCA CF] Manager of certification employee (since 29 Jun 2020)
• Jeremy Pepper

  IRN JFP01017

  • [FCA CF] Client dealing (since 9 May 2024)
• Jerome William Gilles Aboucaya

  IRN JXA01442

  • [FCA CF] Manager of certification employee (since 20 Apr 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Apr 2017 to 8 Dec 2019)
• Jiang-Yao Jordan Hu

  IRN JXH00772

  • [FCA CF] Client dealing (8 Dec 2021 to 10 Oct 2023)
• Johann Jordi

  IRN JXJ01291

  • [FCA CF] Client dealing (since 3 Apr 2024)
  • CF30 Customer (21 Dec 2021 to 22 Dec 2021)
  • [FCA CF] Client dealing (29 Jun 2020 to 21 Mar 2024)
• John Alexander Oliver

  IRN JAO01095

  • CF30 Customer (23 Jun 2015 to 2 May 2017)
• John Andrew Lawlor Lawrie

  IRN JAL01212

  • CF30 Customer (20 Aug 2021 to 21 Dec 2021)
  • [FCA CF] Client dealing (22 Jul 2021 to 31 May 2022)
• John Edward Parrish

  IRN JEP01091

  • CF30 Customer (21 Nov 2013 to 14 May 2014)

• Mariana UFP (Americas) Limited

  FRN 649237 · Appointed 9 Oct 2014 · Tied agent

• Mariana Distribution LLP

  FRN 648911 · Appointed 3 Oct 2014

• Avalon Capital Markets Ltd (no longer appointed)

  FRN 952707 · Appointed 11 Jun 2021 · Until 24 Dec 2021 · Tied agent

• Mariana Commodities Limited (no longer appointed)

  FRN 792663 · Appointed 30 Oct 2017 · Until 11 Nov 2021

• Mariana Capital Management LLP (no longer appointed)

  FRN 598663 · Appointed 4 Apr 2013 · Until 16 Jun 2014

No changes recorded yet.