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.

• Paris Jason Christofides

  IRN PJC01238

  • [FCA CF] Functions requiring qualifications (1 Mar 2021 to 11 Jul 2025)
  • [FCA CF] Client dealing (1 Mar 2021 to 11 Jul 2025)
• Paul Michael Norris

  IRN PMN01020

  • CF30 Customer (1 Nov 2007 to 11 Dec 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Paul Sheehan

  IRN PAS01177

  • 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
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
• Paul Terence Gazzard

  IRN PTG01021

  • SMF3 Executive Director (9 Dec 2019 to 3 Apr 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Apr 2020)
  • CF1 Director (5 Jan 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jan 2018 to 8 Dec 2019)
• Paul Whiteman

  IRN PXW01314

  • 14. Managing investments
  • 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
  • [FCA CF] Functions requiring qualifications (since 27 Apr 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 27 Apr 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Apr 2022)
  • CF30 Customer (3 May 2019 to 8 Dec 2019)
• Peter Charles Harwood

  IRN PCH01041

  • CF21 Investment Adviser (18 Aug 2003 to 27 Jan 2006)
  • CF27 Investment Management (18 Aug 2003 to 27 Jan 2006)
  • CF26 Customer Trading (1 Dec 2001 to 1 Mar 2002)
• Peter James Lawrence Martin

  IRN PJM01179

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 11 Aug 2025)
  • [FCA CF] Manager of certification employee (since 11 Aug 2025)
  • [FCA CF] Client dealing (since 11 Aug 2025)
• Philip Smeaton

  IRN PJS01197

  • 14. Managing investments
  • [FCA CF] Client dealing (since 13 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Jun 2023)
  • [FCA CF] Material risk taker (13 Jun 2023 to 28 Aug 2025)
• Philippa De Ville Lowe

  IRN PXL00308

  • [FCA CF] Client dealing (6 Jun 2023 to 16 Sep 2025)
• Robert Hvide Macleod

  IRN RXM00597

  • SMF9 Chair of the Governing Body (8 Apr 2022 to 12 Jun 2024)

No changes recorded yet.