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.

• Giuseppe Leppi

  IRN GXL01144

  • SMF3 Executive Director (1 Sep 2022 to 18 Jan 2024)
  • [FCA CF] Functions requiring qualifications (18 Dec 2020 to 18 Jan 2024)
  • [FCA CF] Client dealing (18 Dec 2020 to 18 Jan 2024)
• Guy Chenuz

  IRN GXC01809

  • CF30 Customer (8 Nov 2013 to 9 Sep 2015)
• Jean-Evrard Dominice

  IRN JXD01311

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (9 Mar 2016 to 8 Dec 2019)
  • CF1 Director (9 Mar 2016 to 8 Dec 2019)
• Livia Moresco

  IRN LXM01959

  • CF30 Customer (4 Feb 2016 to 22 May 2017)
• Luca Di Rico

  IRN LXD01253

  • 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] Functions requiring qualifications (since 26 Mar 2026)
  • [FCA CF] Client dealing (since 26 Mar 2026)
• Ludovico Tedesi

  IRN LXT00158

  • [FCA CF] Functions requiring qualifications (25 Feb 2022 to 31 Dec 2023)
  • [FCA CF] Client dealing (25 Feb 2022 to 31 Dec 2023)
• Luigi Grandi

  IRN LXG01248

  • CF30 Customer (9 Nov 2015 to 8 Feb 2019)
• Manuela Dina Maria Eleuteri

  IRN MDE01016

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (8 Nov 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Nov 2013 to 8 Dec 2019)
  • CF1 Director (8 Nov 2013 to 8 Dec 2019)
• Marco Zanoni

  IRN MXZ01082

  • CF30 Customer (9 Jul 2015 to 15 Mar 2017)
• Marina Ryabokon

  IRN MXR02086

  • [FCA CF] Client dealing (20 Jan 2021 to 1 Sep 2022)
  • [FCA CF] Functions requiring qualifications (20 Jan 2021 to 1 Sep 2022)

• GLC ADVISORS LIMITED (no longer appointed)

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

No changes recorded yet.