ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED

• Principal Place of Business

  Capital House

  85 King William Street

  London

  City Of London

  EC4N 7BL

  UNITED KINGDOM

  Phone

  +442070002020

  Web

  https://www.rothschildandco.com

• Complaints Contact

  Capital House

  85 King William Street

  London

  City Of London

  EC4N 7BL

  UNITED KINGDOM

  Phone

  +442070002020

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Charles David Taylor

  IRN CDT01025

  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Charles Edward Stanley

  IRN CES01094

  • CF30 Customer (2 May 2014 to 4 Jul 2018)
• Charles Frederick Higgs

  IRN CFH01059

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Mar 2018 to 8 Dec 2019)
• Charles Malcolm David Chalkly-Maber

  IRN CMC01233

  • CF30 Customer (11 May 2016 to 13 Apr 2018)
• Charles Pitman

  IRN CXP01845

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Jul 2022)
  • CF30 Customer (7 Jan 2016 to 8 Dec 2019)
• Charles Rider

  IRN CXR22646

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Jan 2022)
  • CF30 Customer (26 Oct 2019 to 8 Dec 2019)
• Charles Robert Bridge

  IRN CRB01079

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2014 to 8 May 2014)
  • CF11 Money Laundering Reporting (1 Apr 2014 to 8 May 2014)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Charmaine Li Peng Yap

  IRN CLY00005

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2024)
  • CF30 Customer (12 Jun 2017 to 8 Dec 2019)
• Christian Jean Audouin De Roualle

  IRN CJD01159

  • CF30 Customer (1 Apr 2014 to 19 Oct 2017)
• Christopher Hartley

  IRN CJH01380

  • [FCA CF] Manager of certification employee (28 Oct 2020 to 22 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Feb 2023)
  • CF30 Customer (23 Mar 2015 to 8 Dec 2019)

No changes recorded yet.