Napier Park Global Capital Ltd

• Principal Place of Business

  5 Hanover Square

  5th Floor

  5th Floor

  London

  W1S 1HE

  UNITED KINGDOM

  Phone

  +442078664772

  Web

  https://www.napierparkglobal.com

• Complaints Contact

  Napier Park Global Capital

  280 Park Avenue, 3rd Floor

  New York

  New York

  10017

  UNITED STATES OF AMERICA

  Phone

  +12122350717

• 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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), Rolling spot forex contract, Share, Spread Bet, 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Jun He

  IRN JXH01499

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • CF30 Customer (12 Jul 2012 to 8 Dec 2019)
• Karl Griffith

  IRN KXG00164

  • [FCA CF] Client dealing (since 22 Mar 2021)
  • [FCA CF] Material risk taker (22 Mar 2021 to 1 Jan 2022)
• Kevin L Bespolka

  IRN KLB01055

  • CF30 Customer (21 Jul 2011 to 20 Sep 2013)
• Mahmood Sultan Noorani

  IRN MSN01018

  • CF30 Customer (4 Jul 2011 to 20 Sep 2013)
• Mark Edwin Lorkin

  IRN MEL01051

  • CF30 Customer (7 Jul 2011 to 21 Feb 2013)
• Martin Tom Hornbuckle

  IRN MTH01034

  • CF30 Customer (23 Nov 2011 to 15 May 2019)
• Maxime Malaure

  IRN MXM01446

  • CF30 Customer (3 Apr 2014 to 19 Jan 2016)
• Michael Athol Weston

  IRN MAW01140

  • CF30 Customer (6 Dec 2011 to 30 Jan 2013)
  • CF1 Director (5 Jul 2011 to 30 Jan 2013)
• Michael Micko

  IRN MXM01823

  • CF1 Director (18 Jan 2013 to 3 Apr 2013)
  • CF30 Customer (21 Nov 2011 to 16 Oct 2014)
• Michael Peter Francis Osborne

  IRN MLO01010

  • CF30 Customer (6 Jul 2011 to 27 Feb 2013)

No changes recorded yet.