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.

• Mario Cordoni

  IRN MXC02617

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (8 Nov 2013 to 8 Dec 2019)
  • CF30 Customer (8 Nov 2013 to 8 Dec 2019)
  • CF1 Director (8 Nov 2013 to 8 Dec 2019)
• Michael Terence Hollings

  IRN MTH01030

  • CF30 Customer (1 Sep 2014 to 31 Jul 2017)
  • CF1 Director (1 Sep 2014 to 1 May 2016)
• Qin Dai

  IRN QXD00013

  • CF30 Customer (17 Feb 2016 to 8 Dec 2019)
• Robutti Marco

  IRN RXM02819

  • CF30 Customer (8 Dec 2015 to 2 Mar 2018)
• Signe Lazdina

  IRN SXL00164

  • [FCA CF] Functions requiring qualifications (28 Feb 2020 to 2 Aug 2022)
  • [FCA CF] Client dealing (28 Feb 2020 to 2 Aug 2022)
• Simos Pachnos

  IRN SXP02159

  • CF30 Customer (13 Jun 2019 to 22 Nov 2019)

• GLC ADVISORS LIMITED (no longer appointed)

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

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