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.

• Peter John Dohrn

  IRN PJD01138

  • CF3 Chief Executive (1 Dec 2001 to 25 Feb 2002)
  • CF27 Investment Management (1 Dec 2001 to 30 Jun 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Jul 2002)
  • CF1 Director (1 Dec 2001 to 31 Jul 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Jul 2002)
• Peter John Folkman

  IRN PJF01081

  • CF30 Customer (1 Nov 2007 to 4 Jan 2010)
  • CF27 Investment Management (3 Mar 2004 to 31 Oct 2007)
• Peter John Shennan

  IRN PJS01498

  • [FCA CF] Client dealing (31 Mar 2021 to 30 Sep 2025)
  • CF30 Customer (22 Nov 2016 to 8 Dec 2019)
• Philip Wolstenholme

  IRN PXW01219

  • [FCA CF] Client dealing (31 Mar 2021 to 16 Oct 2023)
  • CF10 Compliance Oversight (9 Aug 2011 to 23 Mar 2016)
  • CF29 Significant management (9 Aug 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Aug 2011 to 23 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Robert Richard Toomey

  IRN RRT01014

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF29 Significant management (9 Jan 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 4 Jan 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
• Ronald Henry Atkinson

  IRN RHA01020

  • CF30 Customer (1 Nov 2007 to 4 Jan 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Rose Davies

  IRN RXD01128

  • CF27 Investment Management (1 Dec 2001 to 30 Nov 2002)
• Roy Swainson

  IRN RXS01458

  • CF2 Non Executive Director (28 Mar 2002 to 7 Mar 2019)
• Simon Thelwall-Jones

  IRN SXT01251

  • CF30 Customer (19 Jul 2016 to 19 Apr 2019)
  • CF29 Significant management (19 Jul 2016 to 19 Apr 2019)
  • CF27 Investment Management (8 Feb 2002 to 5 Jan 2006)
• Steven Richard Charnock

  IRN SRC01056

  • [FCA CF] Client dealing (since 18 Apr 2023)

No changes recorded yet.