PIPER SANDLER LTD.

• Principal Place of Business

  6th Floor

  2 Gresham Street

  London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402077968400

  Web

  http://www.pipersandler.com

• Complaints Contact

  Piper Sandler Ltd.

  6th Floor

  2 Gresham Street

  London

  City Of London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402077968400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  Show 1 limitation Hide limitations

  • · 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.

• Mason Graham Hendry

  IRN MXH02045

  • [FCA CF] Client dealing (since 10 Feb 2025)
• Matas Ignatavicius

  IRN MXI01539

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jul 2021)
  • CF30 Customer (17 Aug 2017 to 8 Dec 2019)
• Matthew Adam Graham

  IRN MAG01175

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)
• Matthew David Trevor Penfold

  IRN MDP01049

  • CF30 Customer (1 Nov 2007 to 25 Jun 2010)
  • CF21 Investment Adviser (4 Sep 2007 to 31 Oct 2007)
• Matthew John Flower

  IRN MJF01144

  • CF30 Customer (1 Nov 2007 to 31 Aug 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Matthew Sean Fletcher

  IRN MSF01030

  • CF30 Customer (9 Dec 2009 to 22 Sep 2010)
• Melvyn Wayne Marks

  IRN MWM01031

  • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
  • CF21 Investment Adviser (16 Apr 2007 to 31 Oct 2007)
• Michael Cox

  IRN MXC03091

  • CF1 Director (15 Oct 2015 to 19 Jan 2018)
• Michael Gerard Martin Gorman

  IRN MXG01721

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2010 to 8 Dec 2019)
• Michael Gordon Willett

  IRN MGW01095

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 May 2017 to 8 Dec 2019)

No changes recorded yet.