Rockpool Investments LLP

• Principal Place of Business

  Rockpool Investments LLP

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402038548100

  Web

  https://www.rockpool.uk.com

• Complaints Contact

  Rockpool Investments LLP

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402038548100

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

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  • · The Firm is limited to dealing as a principal investments in the rights under the scheme(s) it operates
  • · 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, Retail (Investment), Debenture, 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), Share, 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, Retail (Investment), Debenture, 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), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, 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), Share, 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.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

  Show 3 limitations 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 activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · The firm is limited to dealing as a principal investments in the rights under the scheme(s) it operates

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, 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), Share, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Debenture, 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), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, 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), Share, Warrant

• Alan Edward Armstrong

  IRN AXA02525

  • CF4 Partner (5 Nov 2012 to 8 Jun 2015)
  • CF30 Customer (5 Nov 2012 to 8 Jun 2015)
• Andrew Edward Green

  IRN AEG01027

  • [FCA CF] Client dealing (since 1 Jan 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (28 Aug 2013 to 8 Dec 2019)
  • CF4 Partner (28 Aug 2013 to 8 Dec 2019)
• Elizabeth Orbell

  IRN EXO01249

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Sep 2025)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (31 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (20 Jun 2017 to 8 Dec 2019)
• Mark Geoffrey Pearson

  IRN MGP01087

  • CF30 Customer (1 Apr 2017 to 4 Apr 2018)
• Matthew Peter Taylor

  IRN MPT01041

  • [FCA CF] Client dealing (since 1 Jan 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Aug 2025)
  • CF10a CASS Oversight function (21 Apr 2015 to 8 Dec 2019)
  • CF4 Partner (5 Nov 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Nov 2012 to 8 Dec 2019)
  • CF3 Chief Executive (5 Nov 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Nov 2012 to 8 Dec 2019)
  • CF30 Customer (5 Nov 2012 to 8 Dec 2019)
• Nicholas Shephard

  IRN NXS00623

  • [FCA CF] Client dealing (since 2 Dec 2024)
• Nicola Karina Christina Horlick

  IRN NKH01003

  • CF30 Customer (5 Nov 2012 to 8 Jun 2015)
  • CF4 Partner (5 Nov 2012 to 8 Jun 2015)

No changes recorded yet.