Royal Bank of Canada

FRN: 124783
Date authorised: 24 November 1988
Companies House: FC000981
Last scraped: 6 days ago

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

100 Bishopsgate

London

EC2N 4AA

UNITED KINGDOM

Phone

+442076534000

Web

https://www.rbccm.com/en/
Complaints Contact

100 Bishopsgate

London

EC2N 4AA

UNITED KINGDOM

Phone

+442076534000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Bank Deposits

For All, Deposit
P2P Lending Advice

For Professional, Eligible Counterparty
Investment Advice (no pensions)

For Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
Trades With You Directly

For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Nicolas Matos
IRN NXM01609
- (732)CF30 Customer (16 Jan 2012 to 25 Apr 2014)
Nicolas Mazzoli
IRN NXM01640
- (635)CF30 Customer (11 Jan 2012 to 6 Mar 2016)
Nicolas Montero Frolich
IRN NXM01231
- (1968)CF30 Customer (13 Aug 2010 to 7 Jun 2012)
Nicolas Patrick Henderson Meier
IRN NPM01023
- (902)CF1 Director (25 Oct 2011 to 11 Jun 2014)
- (898)CF30 Customer (1 Nov 2007 to 1 Jan 2015)
- (899)CF29 Significant management (1 Nov 2007 to 25 Oct 2011)
- (901)CF16 Significant Mgt (Desgntd Investment Business) (31 Jan 2006 to 31 Oct 2007)
- (900)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Nicolaus Von Habsburg
IRN NXV01029
- (109)[FCA CF] Client dealing (7 Mar 2017 to 31 Mar 2019)
- (108)CF30 Customer (5 Nov 2014 to 6 Mar 2016)
Nicole Germaine Fawkner
IRN NGF01012
- (651)CF30 Customer (3 Dec 2007 to 6 Mar 2016)
Nicole Halliday
IRN NXH69329
- (715)[FCA CF] Client dealing (since 3 Mar 2020)
- (2607)[FCA CF] Manager of certification employee (6 Sep 2021 to 1 Jan 2025)
Nicole Holmes
IRN NLH01017
- (1021)CF30 Customer (29 Jul 2010 to 6 Mar 2016)
Nicole Klutse
IRN NXK00031
- (2574)[FCA CF] Client dealing (13 Dec 2022 to 25 Jul 2023)
Nicoleta Gabriela Chiriac
IRN NGC01052
- (1005)CF30 Customer (23 Sep 2015 to 6 Mar 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

British Airways Global Financial Services Limited (no longer appointed)
FRN 205921 · Appointed 22 Mar 1999 · Until 16 Jun 2003

Recent activity

Updates to this firm's record on the FCA register.

6 days ago
controlled function added: (677)[FCA CF] Client dealing
6 days ago
controlled function added: (676)[FCA CF] Client dealing
6 days ago
controlled function added: (675)[FCA CF] Manager of certification employee
6 days ago
controlled function added: (674)[FCA CF] Client dealing
6 days ago
controlled function added: (673)[FCA CF] Manager of certification employee
6 days ago
controlled function added: (672)[FCA CF] Client dealing
6 days ago
controlled function added: (671)[FCA CF] Client dealing
6 days ago
controlled function added: (670)[FCA CF] Manager of certification employee
6 days ago
controlled function added: (669)[FCA CF] Client dealing
6 days ago
controlled function added: (668)[FCA CF] Client dealing

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.