Platform One Limited

• Principal Place of Business

  Arena Business Centre

  9 Nimrod Way

  Wimborne

  Dorset

  BH21 7UH

  UNITED KINGDOM

  Phone

  +4403453665445

  Web

  https://www.platform1online.com

• Complaints Contact

  Arena Business Centre

  9 Nimrod Way

  Wimborne

  Dorset

  BH21 7UH

  UNITED KINGDOM

  Phone

  +4403453665445

• 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, Debenture, Government and public security, Personal pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Runs Personal Pensions

  For Personal pension scheme

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  • · The firm must not accept Self Invested Personal Pension (SIPP) transactions other than standard assets as set out in the List of Standard Assets in IPRU-INV 5.9.1. Direct property investment and term deposit accounts where these are only classified as non-standard assets by virtue of Note 1 to IPRU-INV 5.9.1 regarding liquidity within 30 days are however permitted SIPP transactions that the firm can accept.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Edward Patrick O'Gorman

  IRN EPO01008

  • CF2 Non Executive Director (22 Feb 2013 to 17 Mar 2016)
• Georgia Townsend

  IRN GXS02679

  • [FCA CF] Significant management (since 25 Oct 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Mar 2021)
  • CF11 Money Laundering Reporting (17 Jul 2018 to 8 Dec 2019)
• Hamid Reza Hassani

  IRN HRH01038

  • CF10a CASS Oversight function (14 Sep 2016 to 20 Jan 2017)
• Jeremy Stewart Sims

  IRN JSS01206

  • CF10a CASS Oversight function (26 Jan 2017 to 18 Aug 2017)
  • CF10 Compliance Oversight (12 Apr 2016 to 7 Jun 2017)
  • CF11 Money Laundering Reporting (12 Apr 2016 to 18 Aug 2017)
• Joachim Edward Miller

  IRN JXM02748

  • [FCA CF] CASS oversight function (since 9 Jan 2025)
  • [FCA CF] Significant management (since 7 Mar 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2024 to 8 Jan 2025)
• John Keenan

  IRN JXK02080

  • CF2 Non Executive Director (12 Apr 2016 to 27 Mar 2017)
• Karen Talbot

  IRN KXT15446

  • CF10a CASS Oversight function (28 Jun 2019 to 8 Dec 2019)
• Kenneth John Vincent Wrench

  IRN KJW01099

  • CF2 Non Executive Director (5 Jul 2011 to 8 Dec 2019)
• Kerry Ann Clifford

  IRN KXC00162

  • [FCA CF] Significant management (31 Mar 2021 to 30 Dec 2024)
• Michael Gerard Fordham

  IRN MGF01023

  • SMF3 Executive Director (22 Oct 2021 to 1 Nov 2024)
  • SMF1 Chief Executive (9 Dec 2019 to 22 Oct 2021)
  • CF10a CASS Oversight function (21 Aug 2017 to 14 Dec 2018)
  • CF10 Compliance Oversight (5 Jul 2011 to 5 Jul 2012)
  • CF11 Money Laundering Reporting (5 Jul 2011 to 5 Jul 2012)
  • CF3 Chief Executive (5 Jul 2011 to 8 Dec 2019)
  • CF30 Customer (5 Jul 2011 to 7 Jul 2011)

No changes recorded yet.