Royal Bank of Canada

FRN: 124783
Date authorised: 24 November 1988
Companies House: FC000981
Last scraped: 4 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.

Michael James Cicerone
IRN MJC01390
- (153)CF30 Customer (14 Mar 2011 to 9 Jun 2013)
Michael John Anslow
IRN MJA01117
- (1182)CF1 Director (AR) (11 Jul 2002 to 19 May 2003)
Michael John Atherton
IRN MJA01078
- (576)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- (577)CF21 Investment Adviser (30 Mar 2005 to 31 Oct 2007)
Michael John Batley
IRN MJB01752
- (29)CF30 Customer (1 Sep 2014 to 27 Dec 2015)
Michael John Weston
IRN MJW01353
- (370)CF30 Customer (1 Nov 2007 to 11 Jun 2009)
- (371)CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
Michael John Wisdom
IRN MJW01347
- (417)CF21 Investment Adviser (21 Feb 2002 to 11 Nov 2004)
Michael Kloth
IRN MXK01816
- (269)CF30 Customer (17 Apr 2015 to 6 Mar 2016)
Michael Koller
IRN MXK01172
- (2224)[FCA CF] Manager of certification employee (7 Mar 2017 to 28 Apr 2023)
- (2223)[FCA CF] Client dealing (7 Mar 2017 to 28 Apr 2023)
- (2221)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- (2222)CF21 Investment Adviser (27 Nov 2006 to 31 Oct 2007)
Michael Louis Merenda
IRN MLM01108
- (1393)[FCA CF] Client dealing (6 Apr 2018 to 10 Jul 2019)
Michael Lupton Ellison
IRN MLE01009
- (119)CF29 Significant management (30 Jul 2013 to 31 Jan 2014)
- (118)CF30 Customer (1 Nov 2007 to 31 Jan 2014)
- (120)CF21 Investment Adviser (21 Feb 2006 to 31 Oct 2007)

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.

4 days ago
controlled function added: (747)[FCA CF] Manager of certification employee
4 days ago
controlled function added: (746)[FCA CF] Client dealing
4 days ago
controlled function added: (745)[FCA CF] Client dealing
4 days ago
controlled function added: (744)[FCA CF] Client dealing
4 days ago
controlled function added: (743)[FCA CF] Significant management
4 days ago
controlled function added: (742)[FCA CF] Material risk taker
4 days ago
controlled function added: (741)[FCA CF] Client dealing
4 days ago
controlled function added: (740)[FCA CF] Client dealing
4 days ago
controlled function added: (739)[FCA CF] Client dealing
4 days ago
controlled function added: (738)[FCA CF] Manager of certification employee

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.