Regents Park Securities Ltd

• Principal Place of Business

  Regents Park Securities Ltd

  77 New Cavendish Street

  London

  Westminster

  W1W 6XB

  UNITED KINGDOM

  Phone

  +442035155600

  Web

  https://www.rpsec.co.uk

• Complaints Contact

  Regents Park Securities Ltd

  77 New Cavendish Street

  London

  Westminster

  W1W 6XB

  UNITED KINGDOM

  Phone

  +442035155600

• 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, 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), Share, Structured Deposits, 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, 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), 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, 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), Share, Structured Deposits, 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.

• Trades With You Directly

  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), 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, 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), Share, Structured Deposits, 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, 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), 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.

• Alicia Isabel Quezada Cassino

  IRN AIQ01005

  • CF30 Customer (20 Jul 2018 to 8 Dec 2019)
• Allen William Wilson

  IRN AXW02338

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (8 Aug 2017 to 8 Dec 2019)
• Claudia Hildegard Martini

  IRN CXM11772

  • CF11 Money Laundering Reporting (27 Feb 2019 to 5 Sep 2019)
  • CF10a CASS Oversight function (27 Feb 2019 to 5 Sep 2019)
  • CF10 Compliance Oversight (27 Feb 2019 to 5 Sep 2019)
• David Hollingworth

  IRN DXH22910

  • [FCA CF] CASS oversight function (since 19 Oct 2020)
  • SMF16 Compliance Oversight (since 23 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Dec 2019)
• Jeremy John Woodgate

  IRN JJW01095

  • [FCA CF] Client dealing (14 Jan 2021 to 6 May 2021)
• Maria Flamarique

  IRN MXF02098

  • [FCA CF] Client dealing (30 Nov 2020 to 7 Jan 2021)
  • CF30 Customer (20 Apr 2018 to 8 Dec 2019)
• Matthew Tutt Hocker

  IRN MXH01403

  • [FCA CF] Client dealing (since 5 Oct 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (8 Aug 2017 to 8 Dec 2019)
  • CF30 Customer (8 Aug 2017 to 8 Dec 2019)
  • CF1 Director (8 Aug 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Aug 2017 to 28 Feb 2019)
  • CF10a CASS Oversight function (8 Aug 2017 to 28 Feb 2019)
  • CF11 Money Laundering Reporting (8 Aug 2017 to 28 Feb 2019)
• Ryan Woodman

  IRN RXW01666

  • [FCA CF] Client dealing (since 19 Oct 2020)
• Sami Esiroglu

  IRN SXE01522

  • [FCA CF] Client dealing (since 24 May 2021)

No changes recorded yet.