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.

• Kateryna Semeniachenko

  IRN KXS02620

  • CF30 Customer (22 Nov 2017 to 21 Jan 2019)
• Katie Leah Walters

  IRN KLW01031

  • [FCA CF] Client dealing (29 Apr 2024 to 1 Oct 2025)
• Kaveh Rahbary

  IRN KXR01264

  • SMF27 Partner (since 9 Dec 2019)
  • CF1 Director (AR) (since 2 Sep 2016)
  • CF30 Customer (since 13 Feb 2012)
  • CF4 Partner (13 Feb 2012 to 8 Dec 2019)
• Keegan Robert Guy

  IRN KXG00302

  • [FCA CF] Client dealing (since 13 Nov 2023)
• Ken Yannick Jacques Ménager

  IRN KYK01003

  • CF30 Customer (11 Jan 2022 to 17 Jan 2022)
  • [FCA CF] Client dealing (8 Oct 2021 to 30 Jun 2022)
• Kia Abdorrezai

  IRN KXA01288

  • [FCA CF] Client dealing (since 10 Mar 2022)
  • CF30 Customer (15 Feb 2016 to 16 Mar 2022)
• Kian Johnson

  IRN KXJ00142

  • [FCA CF] Client dealing (20 Jan 2023 to 16 Aug 2024)
• Lap-Anatole Ton That

  IRN LXT01189

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Apr 2016 to 8 Dec 2019)
• Lee Richard Stone

  IRN LRS01024

  • [FCA CF] Client dealing (1 Nov 2020 to 7 Apr 2021)
• Leon Berquez

  IRN LXB01179

  • [FCA CF] Client dealing (29 Jun 2020 to 31 May 2022)

• 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.