RiverRock European Capital Partners LLP

• Principal Place of Business

  17c Curzon Street

  London

  W1J 5HU

  UNITED KINGDOM

  Phone

  +442078427650

  Web

  https://www.riverrock.eu

• Complaints Contact

  17c Curzon Street

  London

  W1J 5HU

  UNITED KINGDOM

  Phone

  +442078427650

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Arranges Asset Safekeeping

  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

• 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

  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.

• 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

  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.

• Private Investment Funds

• 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.

• Christian Michael Heidl

  IRN CMH01091

  • CF30 Customer (22 Nov 2012 to 5 Apr 2013)
• Christoph Lausecker

  IRN CXL01716

  • [FCA CF] Client dealing (23 Dec 2020 to 31 Jul 2021)
  • CF30 Customer (4 Sep 2017 to 17 Dec 2020)
• Christopher Stephen Bailey-Gates

  IRN CSB01122

  • [FCA CF] Client dealing (18 Dec 2020 to 30 Dec 2022)
  • CF30 Customer (21 Aug 2014 to 17 Dec 2020)
  • CF10 Compliance Oversight (17 Aug 2011 to 19 Aug 2014)
  • CF11 Money Laundering Reporting (17 Aug 2011 to 19 Aug 2014)
• Clairmonte Bourne

  IRN CXB00305

  • [FCA CF] Client dealing (10 Aug 2020 to 2 Aug 2022)
• Claudia Kristin Ziegfeld

  IRN CKZ01000

  • CF30 Customer (8 Sep 2009 to 3 Feb 2011)
• Cyrus Mahloudji

  IRN CXM02335

  • [FCA CF] Client dealing (22 Jun 2020 to 6 Jan 2023)
• Cyrus Molavi

  IRN CXM01953

  • CF30 Customer (24 Oct 2014 to 28 Jul 2015)
• David Andrew McHugh

  IRN DAM01096

  • [FCA CF] Client dealing (18 Dec 2020 to 9 Mar 2022)
  • CF4 Partner (AR) (15 Jul 2016 to 17 Dec 2020)
  • CF30 Customer (19 Jul 2010 to 17 Dec 2020)
• David Jason Gourgey

  IRN DJG01137

  • CF30 Customer (18 Jun 2015 to 26 Dec 2018)
• David Robert Spence

  IRN DXS01347

  • [FCA CF] Client dealing (7 Dec 2020 to 30 Jun 2021)

• LGCL LLP (no longer appointed)

  FRN 796343 · Appointed 12 Dec 2017 · Until 4 Feb 2022

• M LAMONT & Co. LTD (no longer appointed)

  FRN 790768 · Appointed 9 Oct 2017 · Until 30 Mar 2020

• LGCC Limited (no longer appointed)

  FRN 768200 · Appointed 28 Dec 2016 · Until 7 Dec 2017

• Deutsche Real Estate Asset Management Limited (no longer appointed)

  FRN 752351 · Appointed 11 Jul 2016 · Until 19 Mar 2018

• Watling Street Advisors LLP (no longer appointed)

  FRN 743544 · Appointed 8 Apr 2016 · Until 17 Dec 2020 · Tied agent

No changes recorded yet.