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

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

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

• 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

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

• Michiel Peter Hubertus Jansen

  IRN MPJ01023

  • CF30 Customer (30 Nov 2011 to 19 Nov 2012)
• Mohammed El-Khazzar

  IRN MXE01483

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (19 Jun 2012 to 8 Dec 2019)
• Nicholas Herman

  IRN NXH00204

  • [FCA CF] Client dealing (since 22 Feb 2021)
  • [FCA CF] Material risk taker (22 Feb 2021 to 1 Jan 2022)
• Peter Maskrey

  IRN PXM01344

  • CF10 Compliance Oversight (4 May 2011 to 2 Oct 2012)
• Radhakrishnan Sadasivam

  IRN RXS01636

  • CF30 Customer (15 May 2013 to 12 Sep 2013)
• Sean Murphy

  IRN SPM01083

  • CF30 Customer (30 Dec 2011 to 29 Jan 2013)
• Simon Benazera

  IRN SXB45768

  • [FCA CF] Client dealing (since 19 Apr 2021)
  • [PRA CF] Managing a material risk taker (19 Apr 2021 to 20 Apr 2021)
  • [FCA CF] Material risk taker (19 Apr 2021 to 1 Jan 2022)
• Simon Kingsbury

  IRN SXK01671

  • CF11 Money Laundering Reporting (4 May 2011 to 7 Mar 2013)
• Sonia Plata

  IRN SXP02780

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (9 May 2016 to 8 Dec 2019)
• Stephanie Ann Shepard Cobb

  IRN SAS01348

  • CF10 Compliance Oversight (14 Oct 2014 to 12 Feb 2016)
  • CF11 Money Laundering Reporting (14 Oct 2014 to 12 Feb 2016)

No changes recorded yet.