Santander Financial Services plc

• Principal Place of Business

  Santander Financial Services plc

  2-3 Triton Square

  London

  Camden

  NW1 3AN

  UNITED KINGDOM

  Phone

  +4408000842888

  Web

  https://www.santanderinternational.co.uk

• Complaints Contact

  13-15 Charing Cross

  St. Helier

  Jersey

  JE2 3RP

  CHANNEL ISLANDS

  Phone

  +4401624641888

• Bank Deposits

  For All, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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, Structured Deposits, Unit, Warrant

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  • · 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

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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, Retail (Investment), Certificates representing certain security, 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, 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

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  • · 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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.
  • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, 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, Unit, Warrant

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  • · 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), Certificates representing certain security, 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, 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, Unit, Warrant

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  • · 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), Certificates representing certain security, 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, 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, Spread Bet, Structured Deposits, Unit, Warrant

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  • · 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 Eligible Counterparty, Professional, Retail (Investment), 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, 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, Spread Bet, Unit, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Warrant

  Show 2 limitations Hide limitations

  • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Richard Hulsen

  IRN RWH01115

  • [FCA CF] Client dealing (7 Mar 2016 to 13 Dec 2018)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 13 Dec 2018)
  • CF30 Customer (12 Feb 2015 to 6 Mar 2016)
• Richard Isted

  IRN RAI01012

  • CF30 Customer (29 Oct 2015 to 6 Mar 2016)
• Richard John Settle

  IRN RJS01529

  • SMF16 Compliance Oversight (since 8 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Dec 2020)
  • SMF4 Chief Risk (since 8 Dec 2020)
• Richard Joseph Francis Simon-Lewis

  IRN RJS01278

  • CF23 Corporate Finance Adviser (30 Sep 2002 to 18 Jun 2004)
• Richard Mark Facer

  IRN RMF01053

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (10 Feb 2004 to 31 Oct 2007)
• Richard Paul Hood

  IRN RPH01040

  • CF30 Customer (11 Jan 2010 to 8 Jan 2016)
• Richard Peter Dams

  IRN RPD01019

  • CF21 Investment Adviser (1 Dec 2001 to 20 Apr 2004)
• Richard Seymour Brown

  IRN RSB01057

  • CF30 Customer (16 Nov 2010 to 9 Oct 2014)
• Richard Silva

  IRN RXS01514

  • CF22 Investment Adviser (Trainee) (28 Sep 2002 to 14 Jan 2003)
• Richard Vaughan Williams

  IRN RVW01005

  • CF30 Customer (1 Nov 2007 to 5 Mar 2008)
  • CF1 Director (3 May 2007 to 5 Mar 2008)
  • CF3 Chief Executive (3 May 2007 to 5 Mar 2008)
  • CF8 Apportionment and Oversight (3 May 2007 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (19 Jul 2002 to 18 Jun 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.