RFC AMBRIAN LIMITED

• Principal Place of Business

  Octagon Point

  5 Cheapside

  London

  EC2V 6AA

  UNITED KINGDOM

  Phone

  +4402034406800

  Web

  https://www.rfcambrian.com

• Complaints Contact

  5 Cheapside

  London

  EC2V 6AA

  UNITED KINGDOM

  Phone

  +4402034406800

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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, 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

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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, 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), 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, Warrant

  Show 2 limitations 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.
  • · Limited to corporate finance business as defined in the FSA Handbook Glossary, this limitation does not extend to the investment types "share" and "debenture".

• Stockbroking

  For Eligible Counterparty, Professional, Debenture, Share, Warrant

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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, Warrant

  Show 2 limitations 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.
  • · Limited to corporate finance business as defined in the FSA Handbook Glossary, this limitation does not extend to the investment types "share" and "debenture".

• Adam Lee Kiley

  IRN ALK01053

  • CF30 Customer (2 Feb 2011 to 19 Apr 2013)
• Alan David Mark Marshall

  IRN ADM01093

  • CF21 Investment Adviser (4 Oct 2006 to 5 Apr 2007)
• Alexander Stuart Millar

  IRN ASM01193

  • CF30 Customer (25 Nov 2014 to 20 Oct 2015)
  • CF1 Director (25 Nov 2014 to 20 Oct 2015)
• Alexandra Raleigh Carse

  IRN ARC01149

  • CF30 Customer (15 Sep 2008 to 30 Dec 2010)
• Andrew Christopher Whitfield

  IRN ACW01180

  • CF30 Customer (11 Apr 2018 to 14 May 2018)
• Andrew Darke

  IRN AXD01205

  • CF30 Customer (9 Mar 2009 to 16 Jul 2010)
• Andrew Kenneth Fountain

  IRN AKF01014

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (10 Oct 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Oct 2007 to 8 Dec 2019)
• Andrew Murray Craig

  IRN AMC01102

  • CF30 Customer (17 Mar 2008 to 31 Oct 2011)
• Angelos Anastasiou

  IRN AXA01131

  • CF30 Customer (18 Jan 2010 to 9 Jul 2010)
• Anna Michniewicz

  IRN AXM02564

  • CF30 Customer (1 Sep 2009 to 16 Jul 2010)

No changes recorded yet.