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

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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.

• 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.

• Francisco Portillejo

  IRN FXP01051

  • CF30 Customer (4 Aug 2014 to 8 Dec 2019)
• Franz Lucien Raymond Moersdorf

  IRN FLM01024

  • CF30 Customer (21 Nov 2016 to 9 Mar 2018)
• Gary Stephen Long

  IRN GSL01052

  • CF4 Partner (15 Mar 2010 to 3 Jan 2011)
  • CF30 Customer (29 Jan 2010 to 17 Nov 2010)
  • CF10 Compliance Oversight (9 Dec 2009 to 1 Feb 2010)
  • CF11 Money Laundering Reporting (9 Dec 2009 to 1 Feb 2010)
• Gero Alhard Wendenburg

  IRN GXW01202

  • CF4 Partner (8 Sep 2009 to 20 Jul 2012)
  • CF30 Customer (8 Sep 2009 to 20 Jul 2012)
• Giuseppe Leppi

  IRN GXL01144

  • SMF1 Chief Executive (2 Jun 2023 to 2 Jun 2023)
  • [FCA CF] Significant management (20 Jan 2022 to 19 Dec 2023)
  • [FCA CF] Manager of certification employee (20 Jan 2022 to 19 Dec 2023)
  • [FCA CF] Material risk taker (20 Jan 2022 to 19 Dec 2023)
  • [FCA CF] Client dealing (20 Jan 2022 to 18 Dec 2024)
• Henry William Gregson

  IRN HWG01006

  • CF30 Customer (27 Mar 2015 to 7 Jul 2016)
• Ian Poland Noetzel

  IRN IPN00002

  • CF10 Compliance Oversight (8 Sep 2009 to 18 Sep 2009)
  • CF11 Money Laundering Reporting (8 Sep 2009 to 18 Sep 2009)
  • CF30 Customer (8 Sep 2009 to 18 Sep 2009)
  • CF4 Partner (8 Sep 2009 to 18 Sep 2009)
• Imane Akalay

  IRN IXA01634

  • CF30 Customer (15 Mar 2017 to 12 Mar 2018)
• Inder Bir Singh

  IRN IBS01010

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jul 2021)
  • SMF27 Partner (9 Dec 2019 to 22 Jul 2021)
  • CF4 Partner (11 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (28 Feb 2017 to 8 Dec 2019)
• Istvan Miklos Fritsche-Apel

  IRN IMF01028

  • [FCA CF] Client dealing (3 Feb 2020 to 31 Oct 2023)

• 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

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