Phoenix Equity Partners Limited

• Principal Place of Business

  Phoenix Equity Partners

  123 Victoria Street

  London

  Westminster

  SW1E 6DE

  UNITED KINGDOM

  Phone

  +4402074346962

  Web

  https://www.phoenix-equity.com

• Complaints Contact

  Phoenix Equity Partners

  123 Victoria Street

  London

  Westminster

  SW1E 6DE

  UNITED KINGDOM

  Phone

  +4402074346962

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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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  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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.

• Philip Simon Shapiro

  IRN PSS01044

  • CF27 Investment Management (16 Jan 2006 to 2 Oct 2006)
• Phillip Arthur George Seers

  IRN PAS01211

  • CF30 Customer (1 Nov 2007 to 1 Nov 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF2 Non Executive Director (1 Dec 2001 to 1 Nov 2010)
• Richard Hill

  IRN RXH00321

  • [FCA CF] Significant management (since 30 Dec 2020)
• Richard William Daw

  IRN RWD01052

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2025)
  • SMF1 Chief Executive (9 Dec 2019 to 14 May 2025)
  • CF11 Money Laundering Reporting (29 Jul 2015 to 8 Dec 2019)
  • CF3 Chief Executive (29 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Samuel Joseph Antrobus

  IRN SJA01111

  • CF30 Customer (1 Nov 2007 to 1 Nov 2011)
  • CF27 Investment Management (1 Feb 2007 to 31 Oct 2007)
• Stephen Jeffrey Darrington

  IRN SJD01166

  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Apr 2024)
  • SMF3 Executive Director (9 Dec 2019 to 3 Jul 2024)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Jan 2005 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Struan Lothian

  IRN SXL01307

  • CF27 Investment Management (1 Sep 2002 to 1 May 2004)
• Timothy James West Ashlin

  IRN TJA01033

  • CF30 Customer (1 Nov 2007 to 3 Feb 2014)
  • CF27 Investment Management (1 Aug 2005 to 31 Oct 2007)
• Timothy Michael Dunn

  IRN TXD01095

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (5 Mar 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Jul 2005 to 31 Oct 2007)
• Victoria Wain

  IRN VXW00036

  • [FCA CF] Significant management (since 30 Dec 2020)

No changes recorded yet.