RIA Capital Markets Limited

Date authorised
1 April 2013
Companies House
SC226461
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ria Capital Markets Ltd
    91 George Street
    Edinburgh
    Edinburgh, City Of
    EH2 3ES
    UNITED KINGDOM
    Phone
    +441312223200
    Web
    https://www.ria.co.uk

  • Complaints Contact

    Ria Capital Markets Ltd
    91 George Street
    Edinburgh
    Edinburgh, City Of
    EH2 3ES
    UNITED KINGDOM
    Phone
    +441312223200

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, 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), 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, 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, 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), 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, 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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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), 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, 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.

  • Stockbroking

    For Eligible Counterparty, Professional, 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), 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, 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.

  • Trades With You Directly

    For Eligible Counterparty, Professional, 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), 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, 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.

  • Investment Setup

    For Eligible Counterparty, Professional, 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), 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, 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.

Approved individuals

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

  • Isabelle Lageard

    IRN IXL01135

    • CF30 Customer (9 Mar 2011 to 3 May 2011)
  • Jaap Maria Anselmus Nijsen

    IRN JMN01052

    • CF30 Customer (14 Jul 2010 to 16 Mar 2011)
  • Jacqueline Heather Gentil

    IRN JHK01012

    • CF30 Customer (1 Nov 2007 to 3 Mar 2009)
    • CF21 Investment Adviser (18 May 2007 to 31 Oct 2007)
  • James Nicholson

    IRN JXN01435

    • CF30 Customer (26 Mar 2015 to 31 Aug 2016)
  • James Robert Riley

    IRN JRR01122

    • CF30 Customer (22 Mar 2012 to 28 Feb 2014)
  • James Robert Satterthwaite

    IRN JRS01265

    • CF30 Customer (8 May 2009 to 30 Mar 2011)
  • James William Robson

    IRN JWR01049

    • CF30 Customer (29 Apr 2009 to 18 May 2010)
  • Janaka Ishan Ariyasena

    IRN JIA01016

    • CF30 Customer (15 Mar 2016 to 5 Sep 2017)
  • John Kearsley Thomson

    IRN JKT01015

    • CF2 Non Executive Director (1 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 1 Jan 2010)
    • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
    • CF1 Director (22 Nov 2004 to 1 Jan 2010)
    • CF8 Apportionment and Oversight (22 Nov 2004 to 31 Oct 2007)
    • CF3 Chief Executive (22 Nov 2004 to 1 Jan 2010)
  • Jonathan MacNee Carswell

    IRN JMC01146

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
    • CF30 Customer (15 Sep 2008 to 8 Dec 2019)
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Recent activity

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

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