Operis Business Engineering Limited

• Principal Place of Business

  Operis Group plc

  110 Cannon Street

  London

  City Of London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +4402075620400

  Web

  https://www.operis.com

• Complaints Contact

  Operis Group plc

  110 Cannon Street

  London

  City Of London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +4402075620400

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Share, Unit, Warrant

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  • · Limited to venture capital business only

• James Maughan

  IRN JXM02088

  • CF22 Investment Adviser (Trainee) (18 Aug 2003 to 1 Apr 2005)
• Jane Morag Loader

  IRN JML01177

  • SMF3 Executive Director (9 Dec 2019 to 23 Oct 2020)
  • CF1 Director (25 Mar 2008 to 8 Dec 2019)
• Jerome Jean-Luc Foucaud

  IRN JJF01062

  • [FCA CF] Client dealing (1 Oct 2020 to 4 Oct 2024)
• Jonathan Edward Swan

  IRN JES01111

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (28 Jul 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 Jul 2003 to 8 Dec 2019)
• Kim Rafael Locherer

  IRN KRL01021

  • CF21 Investment Adviser (22 Apr 2004 to 8 Apr 2005)
  • CF22 Investment Adviser (Trainee) (12 Aug 2003 to 22 Apr 2004)
• Oi Wan Candy Mak

  IRN OWM01000

  • CF22 Investment Adviser (Trainee) (15 Sep 2003 to 30 Jul 2004)
• Oleksander Moroz

  IRN OXM01034

  • CF22 Investment Adviser (Trainee) (15 Sep 2003 to 31 Jul 2004)
• Paul Anthony Byrne

  IRN PAB01260

  • CF21 Investment Adviser (28 Jul 2003 to 16 Jun 2006)
  • CF1 Director (28 Jul 2003 to 16 Jun 2006)
  • CF22 Investment Adviser (Trainee) (13 Jan 2003 to 24 Jul 2003)
• Paul James Myers

  IRN PXM01700

  • CF30 Customer (1 Nov 2007 to 15 Aug 2018)
  • CF21 Investment Adviser (26 Sep 2005 to 31 Oct 2007)
  • CF1 Director (26 Sep 2005 to 15 Aug 2018)
  • CF22 Investment Adviser (Trainee) (18 Aug 2003 to 31 Oct 2007)
• Paul Michael Alexander Bryans

  IRN PMB01170

  • CF1 Director (20 Mar 2008 to 4 Oct 2013)
  • CF30 Customer (1 Nov 2007 to 4 Oct 2013)
  • CF27 Investment Management (18 Oct 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Oct 2006 to 31 Oct 2007)

• William Roger Charlesworth (no longer appointed)

  FRN 440615 · Appointed 13 Oct 2005 · Until 4 Mar 2008

No changes recorded yet.