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

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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.

• 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.

• Jasbir Singh Malhi

  IRN JSM01123

  • CF30 Customer (26 Mar 2015 to 8 Dec 2019)
• Jason Edward Carley

  IRN JEC01147

  • CF4 Partner (AR) (26 Apr 2016 to 17 Dec 2020)
  • CF30 Customer (8 Sep 2009 to 17 Dec 2020)
  • CF4 Partner (8 Sep 2009 to 30 Sep 2014)
• Jean-Christoph Clair

  IRN JXC03004

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2024)
• Jeffrey Iverson

  IRN JXI01108

  • CF10 Compliance Oversight (15 Feb 2010 to 11 Aug 2011)
  • CF11 Money Laundering Reporting (15 Feb 2010 to 11 Aug 2011)
• Jeffrey Robert Casper

  IRN JRC01194

  • CF30 Customer (8 Sep 2009 to 11 Sep 2009)
• Juan Matias SOTTILE

  IRN JMS01484

  • [FCA CF] Client dealing (15 Feb 2021 to 30 Sep 2022)
• Kamal Tabet

  IRN KFT01005

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2022)
  • CF30 Customer (20 Apr 2015 to 8 Dec 2019)
• Kenneth Bruce Damian

  IRN KXD00263

  • [FCA CF] Client dealing (11 Nov 2022 to 30 Jun 2023)
• Krzysztof Lis

  IRN KXL01505

  • SMF16 Compliance Oversight (17 Feb 2023 to 31 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Feb 2023 to 31 May 2023)
• Lorenzo Peschiulli

  IRN LXP01242

  • [FCA CF] Client dealing (8 Feb 2021 to 7 Oct 2022)

• 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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