Queens Gate Capital Advisors Limited

• Principal Place of Business

  c/o Judge Sykes Frixou

  Queens House

  55-56 Lincoln's Inn Fields

  London

  WC2A 3LJ

  UNITED KINGDOM

  Phone

  +442071937883

  Web

  https://www.qgcap.com

• Complaints Contact

  c/o Judge Sykes Frixou

  Queens House

  55-56 Lincoln's Inn Fields

  London

  WC2A 3LJ

  UNITED KINGDOM

  Phone

  +442071937883

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Commodity Future, Commodity option and option on commodity future, 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

  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.

• Investment Setup

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

  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.

• Eileen Blanche Fischer

  IRN EFF01006

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 10 Aug 2023)
  • SMF3 Executive Director (9 Dec 2019 to 10 Aug 2023)
  • CF1 Director (19 Nov 2015 to 8 Dec 2019)
• Filip Matic

  IRN FXM01132

  • [FCA CF] Functions requiring qualifications (15 Apr 2020 to 15 Jul 2021)
  • [FCA CF] Client dealing (15 Apr 2020 to 15 Jul 2021)
• Helmut Franz Rudolf Fischer

  IRN HFF01003

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF1 Director (19 Nov 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Nov 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (19 Nov 2015 to 8 Dec 2019)
  • CF3 Chief Executive (19 Nov 2015 to 8 Dec 2019)
  • CF30 Customer (19 Nov 2015 to 8 Dec 2019)
• Karl Heinrich Ferdinand Fuehrer

  IRN KHF01008

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Sep 2022)
  • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
• Richard James Hodgson

  IRN RJH01199

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 4 Oct 2022)
• Stephen Lucas

  IRN SRL01038

  • CF30 Customer (19 Nov 2015 to 11 Jan 2016)

No changes recorded yet.