RiverRock Capital Limited

• Principal Place of Business

  17c Curzon Street

  London

  W1J 5HU

  UNITED KINGDOM

  Phone

  +4402080899910

• Complaints Contact

  26-27 Bedford Square

  London

  WC1B 3HP

  UNITED KINGDOM

  Phone

  +442034053161

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, Warrant

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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.

• 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, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Unit, 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.

• Alice Bordini

  IRN AXB01378

  • CF1 Director (AR) (2 Aug 2017 to 13 May 2020)
  • CF30 Customer (19 Jul 2017 to 13 May 2020)
• Anna Sizova

  IRN AXS01975

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 21 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 21 Jan 2021)
• Anthony Goeritz

  IRN ADG01136

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Nov 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Nov 2020)
  • CF30 Customer (15 Jan 2019 to 8 Dec 2019)
• Christopher Dacre Powell

  IRN CDP01040

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Oct 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Oct 2020)
  • CF30 Customer (16 Aug 2019 to 8 Dec 2019)
• Colin Michael Chapman

  IRN CMC01188

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Oct 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Oct 2020)
  • CF30 Customer (30 Jan 2019 to 8 Dec 2019)
• Davide Razeto

  IRN DXR01969

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2023)
  • CF30 Customer (3 Jan 2019 to 8 Dec 2019)
• Duccio Duranti

  IRN DXD01592

  • SMF3 Executive Director (9 Dec 2019 to 15 Mar 2022)
  • CF30 Customer (8 Nov 2013 to 8 Dec 2019)
  • CF1 Director (8 Nov 2013 to 8 Dec 2019)
• Gabriele Balducci

  IRN GXB01580

  • CF30 Customer (12 Nov 2015 to 8 Dec 2019)
• Garuzzo Carlo Arturo

  IRN GXC02044

  • CF30 Customer (10 Feb 2016 to 1 Jul 2017)
• George Zois

  IRN GXZ01019

  • SMF3 Executive Director (9 Dec 2019 to 22 Jan 2021)
  • CF1 Director (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)

• GLC ADVISORS LIMITED (no longer appointed)

  FRN 785199 · Appointed 27 Jul 2017 · Until 19 May 2020 · Tied agent

No changes recorded yet.