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.

• Andrew Laurence Rosen

  IRN ALR01074

  • CF30 Customer (12 Feb 2018 to 8 Dec 2019)
• Andrew Mark Savill

  IRN AMS01170

  • CF4 Partner (AR) (8 Sep 2016 to 19 Jan 2018)
  • CF30 Customer (12 Dec 2014 to 8 Dec 2019)
• Andrew Philip Sleath

  IRN APS01169

  • CF30 Customer (18 Jun 2012 to 26 Jul 2013)
• Anthony Joseph McCarthy

  IRN AJM01245

  • CF30 Customer (15 Nov 2012 to 11 Jan 2013)
• Anthony King

  IRN AXK02460

  • [FCA CF] Client dealing (since 22 Feb 2024)
  • CF30 Customer (26 Jan 2015 to 24 Jun 2019)
• Anuj Ashok Kotecha

  IRN AAK01074

  • CF30 Customer (17 Mar 2014 to 14 May 2015)
• Anwar Mondin

  IRN AXM02690

  • [FCA CF] Client dealing (9 Feb 2022 to 2 Feb 2026)
• Apurva Gupta

  IRN AXG02428

  • CF30 Customer (25 May 2022 to 16 Sep 2022)
  • [FCA CF] Client dealing (11 Nov 2021 to 16 Sep 2022)
• Ariel Yana

  IRN AXY01184

  • [FCA CF] Client dealing (13 Mar 2023 to 29 Feb 2024)
• Ashish Tayal

  IRN AXT01602

  • CF30 Customer (22 Jul 2024 to 4 Nov 2024)
  • [FCA CF] Client dealing (3 Jun 2024 to 4 Nov 2024)

• 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.