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.

• Maxim Bernard Cantor

  IRN MBC01024

  • [FCA CF] Client dealing (6 Jan 2020 to 26 Apr 2021)
• Mehmet Urun Akseki

  IRN MUA01005

  • CF30 Customer (8 Oct 2012 to 9 Nov 2018)
• Michael Gary LAMONT

  IRN MGL01097

  • SMF27 Partner (16 Mar 2020 to 15 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Sep 2021)
  • CF30 Customer (1 Nov 2017 to 23 Mar 2020)
• Michael Lenn Simpson

  IRN MLS01132

  • CF30 Customer (22 Sep 2015 to 14 Jul 2017)
• Michel Marie Raoul Gerard Peretie

  IRN MMP01010

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (19 Dec 2023 to 12 Feb 2025)
  • SMF16 Compliance Oversight (30 Nov 2023 to 6 May 2025)
  • SMF1 Chief Executive (9 Dec 2019 to 6 May 2025)
  • CF28 Systems and controls (15 Feb 2017 to 8 Dec 2019)
  • CF3 Chief Executive (10 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (15 Nov 2012 to 8 Dec 2019)
  • CF4 Partner (15 Nov 2012 to 8 Dec 2019)
• Michel Yann Elvise Gauer

  IRN MXG01637

  • CF30 Customer (6 Aug 2014 to 8 Dec 2019)
• Miguel Garcia Saco

  IRN MXG00562

  • [FCA CF] Client dealing (since 11 Nov 2022)
• Mitesh Shah

  IRN MXS18261

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Jun 2022)
  • CF28 Systems and controls (1 Nov 2019 to 8 Dec 2019)
• Monica Thomas

  IRN MXT01882

  • CF30 Customer (12 Jun 2013 to 8 Apr 2017)
• Nicolaus Alexander Harnack

  IRN NAH01063

  • CF1 Director (AR) (25 Aug 2016 to 9 Mar 2018)
  • CF30 Customer (3 Dec 2012 to 22 Aug 2016)

• 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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