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.

• Michael John Aitkenhead

  IRN MJA01144

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)
• Michael John Dennis

  IRN MJD01181

  • CF30 Customer (1 Nov 2007 to 2 Dec 2008)
  • CF21 Investment Adviser (29 Sep 2006 to 31 Oct 2007)
• Michael Joseph Bunting

  IRN MJB01739

  • [FCA CF] Manager of certification employee (9 Jul 2022 to 30 Aug 2024)
  • [FCA CF] Client dealing (9 Jul 2022 to 30 Aug 2024)
• Michael Osi

  IRN MXO00116

  • [FCA CF] Functions requiring qualifications (26 May 2021 to 15 Jun 2022)
• Michael Paul Covington

  IRN MPC01062

  • CF30 Customer (3 Apr 2008 to 19 Nov 2010)
• Michael Tsangarides

  IRN MXT01555

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
• Michael Wooding McNamara

  IRN MWM01053

  • CF30 Customer (15 Sep 2010 to 30 Nov 2010)
• Michelle Veronica Athena McGrath

  IRN MVM01016

  • CF30 Customer (1 Nov 2007 to 11 Aug 2009)
  • CF21 Investment Adviser (2 May 2007 to 31 Oct 2007)
• Miha Grzina

  IRN MXG00307

  • [FCA CF] Client dealing (5 May 2022 to 12 Jan 2024)
• Misha Intwala

  IRN MXI01111

  • CF30 Customer (1 Nov 2007 to 22 Sep 2008)
  • CF23 Corporate Finance Adviser (4 Oct 2007 to 31 Oct 2007)

No changes recorded yet.