RFC AMBRIAN LIMITED

Date authorised
1 April 2013
Companies House
04236075
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

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, 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
    • · 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, 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
    • · 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
    • · 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".

Approved individuals

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

  • Robert Anthony Lo

    IRN RAL01068

    • CF30 Customer (22 Apr 2008 to 31 Jul 2008)
  • Robert Henry Richard Adamson

    IRN RHA01030

    • SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • CF2 Non Executive Director (2 Apr 2012 to 8 Dec 2019)
  • Robert Jon Seymour

    IRN RJS01202

    • CF21 Investment Adviser (12 Sep 2003 to 31 May 2004)
    • CF23 Corporate Finance Adviser (12 Sep 2003 to 31 May 2004)
  • Robert Norman Ashley

    IRN RNA01009

    • CF3 Chief Executive (18 May 2011 to 18 Oct 2011)
  • Roger Francis Clegg

    IRN RXC01264

    • CF1 Director (15 Sep 2011 to 3 Apr 2012)
    • CF3 Chief Executive (15 Sep 2011 to 3 Apr 2012)
    • CF30 Customer (1 Nov 2007 to 3 Apr 2012)
    • CF21 Investment Adviser (29 Nov 2004 to 31 Oct 2007)
  • Samantha Beatrice Susan Harrison

    IRN SBH01029

    • CF30 Customer (1 Nov 2007 to 13 Jun 2016)
    • CF23 Corporate Finance Adviser (19 Sep 2007 to 31 Oct 2007)
  • Samuel Woodward

    IRN SXW01825

    • CF30 Customer (22 Jul 2010 to 7 Mar 2011)
  • Sarah Cope

    IRN SXW01277

    • CF30 Customer (9 Oct 2012 to 13 Jun 2014)
  • Shaun Connor Whyte

    IRN SCW01044

    • CF30 Customer (1 Nov 2007 to 25 Nov 2011)
    • CF21 Investment Adviser (9 Aug 2007 to 31 Oct 2007)
  • Simon John Lindsay Hawkins

    IRN SJH01257

    • CF30 Customer (7 Jun 2010 to 7 Mar 2011)
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Recent activity

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

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