River Capital Management Limited

• Principal Place of Business

  Suite 6 C, The Plaza

  100 Old Hall Street

  Liverpool

  Merseyside

  L3 9QJ

  UNITED KINGDOM

  Phone

  +447726459419

  Web

  https://www.rivercapitaluk.com

• Complaints Contact

  Suite 6 C, The Plaza

  100 Old Hall Street

  Liverpool

  Merseyside

  L3 9QJ

  UNITED KINGDOM

  Phone

  +447726459419

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

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  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Debenture, 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

  Show 8 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to dealing-only activities.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

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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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

  Show 5 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme box operations and in carrying on such operations to the specified investment types "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", and "right to or interest in investments - contractually based investments", (when the latter is associated with these specified investments).

• Debt Plan Admin

• Debt Collection

• Consumer Loans

• Runs Investment Funds

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

  Show 7 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to transaction-only activities.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

  Show 5 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

  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.

• Geraldine Sloan

  IRN GXS16301

  • SMF3 Executive Director (9 Dec 2019 to 15 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Feb 2020)
  • CF1 Director (16 Sep 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Sep 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Sep 2019 to 8 Dec 2019)
  • CF30 Customer (16 Sep 2019 to 8 Dec 2019)
• Ian Arthur Duckett

  IRN IAD01011

  • CF27 Investment Management (1 Dec 2001 to 30 Nov 2004)
• Jeremy Bostock Mobbs

  IRN JBM01035

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 28 Apr 2010)
  • CF10 Compliance Oversight (26 Apr 2004 to 28 Apr 2010)
  • CF11 Money Laundering Reporting (26 Apr 2004 to 28 Apr 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Laurence Walker

  IRN JLW01064

  • SMF9 Chair of the Governing Body (since 25 Feb 2020)
• Jonathan Newton

  IRN JXN00242

  • [FCA CF] Client dealing (9 Dec 2022 to 16 Aug 2023)
• Katie Nicholson

  IRN KXN00171

  • [FCA CF] Client dealing (since 24 May 2024)
• Laura Therese MOSS

  IRN LTM01014

  • CF10 Compliance Oversight (15 Oct 2014 to 13 Sep 2019)
  • CF11 Money Laundering Reporting (15 Oct 2014 to 13 Sep 2019)
• Lisa Greenhalgh

  IRN LXW01173

  • CF10 Compliance Oversight (1 Jan 2019 to 17 May 2019)
  • CF29 Significant management (10 Oct 2012 to 17 May 2019)
  • CF1 Director (10 Oct 2012 to 17 May 2019)
  • CF30 Customer (10 Oct 2012 to 17 May 2019)
  • CF28 Systems and controls (1 Nov 2007 to 17 May 2019)
  • CF13 Finance (1 Jan 2004 to 31 Oct 2007)
• Malcolm Graham Jones

  IRN MGJ01017

  • CF30 Customer (1 Nov 2007 to 30 Sep 2015)
  • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (22 Apr 2002 to 3 May 2005)
• Marc Francois d'Abbadie

  IRN MFD01034

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • SMF16 Compliance Oversight (since 30 Mar 2020)
  • SMF3 Executive Director (since 30 Mar 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Mar 2020)

No changes recorded yet.