North Rock Capital Management (UK) LLP

• Principal Place of Business

  Second Floor

  48-49 Pall Mall

  London

  SW1Y 5JG

  ENGLAND

  Phone

  +442031899470

  Web

  https://www.northrockllc.com

• Complaints Contact

  Second Floor

  48-49 Pall Mall

  London

  SW1Y 5JG

  ENGLAND

  Phone

  +442045186913

• 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, 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.

• 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, 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

  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.

• Niraj Amin

  IRN NXA01758

  • [FCA CF] Client dealing (1 Jul 2022 to 10 Apr 2024)
• Oliver Keith Nicholas Robinson

  IRN OXR00008

  • SMF16 Compliance Oversight (since 1 Apr 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2021)
• Owen Jacob

  IRN OXJ01008

  • [FCA CF] Manager of certification employee (since 3 Mar 2025)
  • [FCA CF] Client dealing (since 19 Jun 2023)
• Rafal Gutaj

  IRN RXG01666

  • [FCA CF] Client dealing (10 Jul 2024 to 22 Nov 2025)
• Richard Alexander James Hockings

  IRN RAH01112

  • [FCA CF] Manager of certification employee (1 Jul 2022 to 29 Aug 2024)
  • [FCA CF] Client dealing (24 Jan 2022 to 30 Apr 2025)
• Richard Neil Simpson

  IRN RNS01070

  • [FCA CF] Client dealing (1 Mar 2024 to 8 Jul 2025)
• Robert Best Harris

  IRN RBH01023

  • [FCA CF] Client dealing (27 Jan 2022 to 6 Nov 2024)
• Roberto Cervesi

  IRN RXC01294

  • [FCA CF] Client dealing (9 Dec 2022 to 7 Aug 2025)
• Roberto Sanchez

  IRN RXS00939

  • [FCA CF] Client dealing (since 18 Mar 2026)
• Rory Samuel Hill

  IRN RSH01059

  • [FCA CF] Manager of certification employee (1 Sep 2021 to 30 Apr 2025)
  • [FCA CF] Client dealing (1 Sep 2021 to 30 Apr 2025)

No changes recorded yet.