Royal Bank of Canada

• 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

• Bank Deposits

  For All, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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, Emissions Allowance, 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, Spread Bet, Structured Deposits, Unit, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Emissions Allowance, 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, Spread Bet, Structured Deposits, Unit, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Emissions Allowance, 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, Spread Bet, Structured Deposits, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Emissions Allowance, 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, Spread Bet, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Emissions Allowance, 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, Spread Bet, Structured Deposits, Unit, Warrant

  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 Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  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.

• Caroline Barrett

  IRN CLW01061

  • [FCA CF] Client dealing (since 7 Mar 2017)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (14 May 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (27 Jan 2004 to 14 May 2004)
• Caroline Mary Vassallo

  IRN CMV01023

  • [FCA CF] Client dealing (7 Mar 2017 to 14 Mar 2023)
  • CF30 Customer (2 Sep 2012 to 6 Mar 2016)
• Caroline McCann

  IRN CXM69240

  • [FCA CF] Material risk taker (26 Jun 2019 to 14 Sep 2022)
  • [FCA CF] Manager of certification employee (26 Jun 2019 to 1 Aug 2020)
• Carsten Metzger

  IRN CXM69288

  • [FCA CF] Manager of certification employee (15 Jul 2019 to 31 Mar 2020)
  • [FCA CF] Client dealing (7 Mar 2017 to 31 Mar 2020)
• Casey Elizabeth Macdonald

  IRN CEM01091

  • CF30 Customer (17 Aug 2010 to 6 Jun 2012)
• Cathal Kennedy

  IRN CGK01020

  • [FCA CF] Client dealing (since 2 Oct 2023)
  • [FCA CF] Client dealing (7 Mar 2017 to 1 Nov 2020)
  • CF30 Customer (1 Feb 2016 to 6 Mar 2016)
• Catherine Elizabeth Chere

  IRN CEC01065

  • CF30 Customer (1 Nov 2007 to 26 Aug 2011)
  • CF22 Investment Adviser (Trainee) (16 Feb 2006 to 31 Oct 2007)
• Catherine Mary Elizabeth McGrath

  IRN CMM01188

  • CF30 Customer (14 Apr 2014 to 13 Jan 2016)
• Catherine McBride

  IRN CXM00821

  • [FCA CF] Significant management (30 Jan 2023 to 30 Sep 2023)
  • [FCA CF] Material risk taker (30 Jan 2023 to 30 Sep 2023)
• Cathrin Ironside

  IRN CXN01152

  • [FCA CF] Manager of certification employee (since 14 Jan 2025)
  • [FCA CF] Client dealing (since 17 Apr 2024)
  • [FCA CF] Material risk taker (since 17 Apr 2024)

• British Airways Global Financial Services Limited (no longer appointed)

  FRN 205921 · Appointed 22 Mar 1999 · Until 16 Jun 2003

No changes recorded yet.