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.

• Christopher James Wright

  IRN CJW01296

  • [FCA CF] Material risk taker (6 Jan 2022 to 16 Jan 2025)
  • [FCA CF] Functions requiring qualifications (29 Jun 2020 to 16 Jan 2025)
  • [FCA CF] Client dealing (29 Jun 2020 to 16 Jan 2025)
• Christopher Thomas Fawcus Crawford

  IRN CTC01009

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Sep 2024)
• Claire Crook

  IRN CXC00016

  • [FCA CF] Functions requiring qualifications (7 Feb 2024 to 1 Jul 2024)
  • [FCA CF] Client dealing (25 May 2022 to 1 Jul 2024)
• Clive Peter Whiley

  IRN CPW01041

  • CF26 Customer Trading (1 Dec 2001 to 17 Jun 2002)
  • CF2 Non Executive Director (1 Dec 2001 to 1 Mar 2002)
• Colin Ian JOHNSTON

  IRN CIJ00009

  • [FCA CF] Significant management (4 Jan 2021 to 30 Sep 2021)
• David Ross Thompson

  IRN DRT01023

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 4 Feb 2025)
  • [FCA CF] Client dealing (since 4 Feb 2025)
• Edward Alexander De Burgh Galwey

  IRN EAD00009

  • [FCA CF] Functions requiring qualifications (9 Dec 2022 to 1 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (26 Nov 2019 to 8 Dec 2019)
• Edward George MacColl Blair

  IRN EGB01015

  • [FCA CF] Manager of certification employee (since 7 Nov 2024)
  • [FCA CF] Client dealing (since 7 Nov 2024)
• Emily Davidson

  IRN EXD00320

  • [FCA CF] Client dealing (since 9 Dec 2025)
• Galin Ivanov Ganchev

  IRN GXG12820

  • SMF3 Executive Director (5 Jul 2023 to 14 Oct 2024)

No changes recorded yet.