Oberon Investments Limited

• Principal Place of Business

  6 Duke Street St James's

  2nd Floor

  London

  SW1Y 6BN

  UNITED KINGDOM

  Phone

  +4402031795300

  Web

  https://www.oberoninvestments.com

• Complaints Contact

  6 Duke Street St James's

  2nd Floor

  London

  SW1Y 6BN

  UNITED KINGDOM

  Phone

  +4402031795308

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• 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, Retail (Investment), Certificates representing certain security, Debenture, 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.
  • · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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), Rolling spot forex contract, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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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  • · Unable to hold financial instruments for own account unless it meets the "matched principal exemption conditions" in the FSA's Glossary of defined expressions used in the FSA's Handbook.
  • · 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, Retail (Investment), Certificates representing certain security, Debenture, 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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  • · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.
  • · 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Adam Alexander Brewis Pollock

  IRN AAP01019

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 24 May 2022)
  • [FCA CF] Client dealing (since 24 May 2022)
• Adam Herringer

  IRN AXH00943

  • SMF3 Executive Director (since 7 Feb 2025)
  • [FCA CF] Significant management (28 May 2024 to 21 Feb 2025)
• Alexander Richard Millett

  IRN ARM01098

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2025)
  • CF30 Customer (3 May 2019 to 8 Dec 2019)
• Alexander Stephenson

  IRN AXS05312

  • [FCA CF] Client dealing (since 15 Oct 2024)
• Barry Leslie Baker

  IRN BLB01009

  • CF30 Customer (1 Nov 2007 to 3 Dec 2018)
  • CF27 Investment Management (5 Sep 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Sep 2003 to 31 Oct 2007)
• Barry Smead

  IRN BXS00171

  • [FCA CF] Manager of certification employee (since 23 Oct 2025)
• Carl Richard Penny

  IRN CRP01023

  • [FCA CF] Client dealing (since 13 Dec 2024)
• Caroline Sheona Worthington

  IRN CSW01063

  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Mar 2024 to 23 Apr 2025)
  • SMF16 Compliance Oversight (28 Mar 2024 to 23 Apr 2025)
• Christopher Francis McNulty

  IRN CFM01052

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 9 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2025)
  • [FCA CF] Client dealing (since 9 Dec 2025)
• Christopher Humfrey Nils Chamberlain

  IRN CHC01019

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 Oct 2024)
  • [FCA CF] Manager of certification employee (since 15 Oct 2024)
  • [FCA CF] Client dealing (since 15 Oct 2024)

No changes recorded yet.