PIPER SANDLER LTD.

Date authorised
1 April 2013
Companies House
03846990
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Xue Jiao Chen

    IRN XJC01000

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

    IRN YXO01041

    • [FCA CF] Client dealing (30 Aug 2024 to 30 Jun 2025)
  • Yanda Wong

    IRN YXW00040

    • [FCA CF] Client dealing (since 18 Dec 2023)
  • Yibin Yang

    IRN YXY00037

    • [FCA CF] Client dealing (since 6 Jan 2025)
  • Zegham Rashid Choudhry

    IRN ZRC01002

    • CF30 Customer (28 Jul 2008 to 30 Nov 2010)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.