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.

• Marcus Holden-Craufurd

  IRN MGH01043

  • [FCA CF] Significant management (23 May 2024 to 1 Jul 2025)
  • [FCA CF] Manager of certification employee (23 May 2024 to 1 Jul 2025)
  • [FCA CF] Material risk taker (23 May 2024 to 1 Jul 2025)
  • [FCA CF] Client dealing (3 Jan 2023 to 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (3 Jan 2023 to 1 Jul 2025)
• Mark Burtenshaw

  IRN MLB01084

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 10 Jul 2024)
  • [FCA CF] Client dealing (since 14 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 14 Mar 2023)
• Martin Stephens

  IRN MXS01461

  • CF30 Customer (1 Nov 2007 to 18 Nov 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Maximillian Jonathan Otho Weatherby

  IRN MXW00560

  • [FCA CF] Client dealing (25 Apr 2022 to 16 Jun 2025)
• Michael Charles Seabrook

  IRN MCS01070

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Client dealing (since 25 May 2020)
  • [FCA CF] Functions requiring qualifications (since 20 May 2020)
  • SMF3 Executive Director (5 Oct 2020 to 1 Dec 2024)
  • [FCA CF] Significant management (25 May 2020 to 10 Jul 2024)
  • [FCA CF] Manager of certification employee (25 May 2020 to 10 Jul 2024)
• Michael David Barnard

  IRN MDB01076

  • CF10 Compliance Oversight (11 Aug 2016 to 9 Jan 2018)
  • CF11 Money Laundering Reporting (11 Aug 2016 to 9 Jan 2018)
  • CF30 Customer (1 Nov 2007 to 9 Jan 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 9 Jan 2018)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 9 Jan 2018)
• Michael John Cuthbert

  IRN MJC01231

  • SMF9 Chair of the Governing Body (since 29 Apr 2025)
• Mylo Ian Sangster

  IRN MXS00819

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 3 May 2024)
  • [FCA CF] Client dealing (since 27 Oct 2021)
• Nicholas John Lovering

  IRN NJL01044

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Manager of certification employee (since 9 Jul 2024)
  • [FCA CF] Material risk taker (since 9 Jul 2024)
  • [FCA CF] Client dealing (since 2 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
• Nicola Mitchell

  IRN NXM01996

  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Material risk taker (since 10 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2024)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Aug 2020 to 29 Apr 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Jun 2020)
  • CF10 Compliance Oversight (29 Dec 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (8 Oct 2015 to 8 Dec 2019)

No changes recorded yet.