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.

• David William Gibson

  IRN DWG01026

  • [FCA CF] Client dealing (since 19 Feb 2024)
• Denitsa Todorova

  IRN DXT01331

  • [FCA CF] Client dealing (14 Feb 2025 to 31 Jul 2025)
• Duncan Charles Prentice

  IRN DCP01045

  • [FCA CF] Client dealing (30 May 2022 to 30 Apr 2025)
• Edouard Domercq

  IRN EXD01253

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jul 2023)
  • CF30 Customer (13 Feb 2012 to 5 Jun 2015)
• Edward David Taylor

  IRN EDT01007

  • CF30 Customer (since 27 May 2022)
  • [FCA CF] Client dealing (since 1 Nov 2021)
  • [FCA CF] Manager of certification employee (since 1 Nov 2021)
• Elton Clark James

  IRN ECJ01008

  • [FCA CF] Manager of certification employee (19 Jul 2022 to 7 Feb 2024)
  • CF11 Money Laundering Reporting (27 Feb 2013 to 8 Aug 2014)
  • CF10 Compliance Oversight (27 Feb 2013 to 8 Aug 2014)
  • CF30 Customer (13 Feb 2012 to 8 Dec 2019)
  • CF4 Partner (13 Feb 2012 to 26 May 2016)
• Erwan Revel

  IRN EXR20039

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Aug 2020)
  • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
• Eugene Oh

  IRN EXO01150

  • [FCA CF] Client dealing (30 Aug 2024 to 17 Sep 2025)
• Fabien Guillaume Jerome Letheuil

  IRN FGL01005

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Feb 2012 to 30 Sep 2016)
• Federico Mennuni

  IRN FXM01580

  • CF30 Customer (1 May 2017 to 8 Dec 2019)

• 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.