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

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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.

• Nicolo Brandolini d'Adda

  IRN NXB01129

  • CF30 Customer (1 Dec 2018 to 8 Dec 2019)
• Oliver Allan

  IRN OXA01210

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jul 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jul 2020)
  • CF10 Compliance Oversight (19 Aug 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (19 Aug 2014 to 8 Dec 2019)
• Oliver Terence Chappell

  IRN OTC01002

  • CF30 Customer (21 Jan 2017 to 8 Dec 2019)
• Olivier Alexis Sueur

  IRN OAS01016

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Apr 2018 to 8 Dec 2019)
• Olivier Maurice Gilles Moreau

  IRN OMM01005

  • CF28 Systems and controls (30 Sep 2014 to 5 Jan 2015)
• PAUL JANZ

  IRN PXJ01526

  • CF30 Customer (19 Sep 2017 to 28 Oct 2019)
• Pascal Michel Leccia

  IRN PML01104

  • CF30 Customer (15 Mar 2017 to 9 Nov 2018)
• Pierluigi Ciccone

  IRN PXC02074

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2024)
  • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
• Rachad Neil El Hachem

  IRN RNE01009

  • CF30 Customer (11 Dec 2013 to 2 May 2018)
• Riccardo Grisa

  IRN RXG01825

  • CF30 Customer (12 Dec 2018 to 8 Dec 2019)

• 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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