Scottish Equity Partners LLP

• Principal Place of Business

  Scottish Equity Partners LLP

  17 Blythswood Square

  Glasgow

  Glasgow City

  G2 4AD

  UNITED KINGDOM

  Phone

  +441412734000

  Web

  https://www.sep.co.uk

• Complaints Contact

  Scottish Equity Partners LLP

  17 Blythswood Square

  Glasgow

  Glasgow City

  G2 4AD

  UNITED KINGDOM

  Phone

  +441412734000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), Rolling spot forex contract, 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.
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Unit, Warrant

  Show 4 limitations 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.
  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than 'stakeholder pension scheme', 'rights to or interests in investments - security', (when the latter is associated with this specified investment), 'life policy', 'funeral plan contract' and 'rights to or interest in investment - contractually based investment', (when the latter is associated with these specified investment) and to the customer type "Professional Client".

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, Share, 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.

• Stockbroking

  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), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than 'stakeholder pension scheme', 'rights to or interests in investments - security', (when the latter is associated with this specified investment), 'life policy', 'funeral plan contract' and 'rights to or interest in investment - contractually based investment', (when the latter is associated with these specified investment) and to the customer type "Professional Client".

• Runs Investment Funds

• Investment Setup

  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), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 limitations 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.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than 'stakeholder pension scheme', 'rights to or interests in investments - security', (when the latter is associated with this specified investment), 'life policy', 'funeral plan contract' and 'rights to or interest in investment - contractually based investment', (when the latter is associated with these specified investment) and to the customer type "Professional Client".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to transaction-only activities

• Private Investment Funds

• Manages Your Portfolio

  For 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than 'stakeholder pension scheme', 'rights to or interests in investments - security', (when the latter is associated with this specified investment), 'life policy', 'funeral plan contract' and 'rights to or interest in investment - contractually based investment', (when the latter is associated with these specified investment) and to the customer type "Professional Client".

• Holds Your Assets

  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), Rolling spot forex contract, Share, 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.

• Brian Alexander Kerr

  IRN BAK01010

  • CF4 Partner (31 Oct 2008 to 31 Jan 2014)
  • CF30 Customer (31 Oct 2008 to 31 Jan 2014)
• Calum MacDonald Paterson

  IRN CMP01054

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (31 Oct 2008 to 8 Dec 2019)
  • CF4 Partner (31 Oct 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (31 Oct 2008 to 31 Mar 2009)
  • CF3 Chief Executive (31 Oct 2008 to 8 Dec 2019)
• Catherine Louise Simpson

  IRN CLS01035

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2023)
• David John Sneddon

  IRN DJS01281

  • SMF27 Partner (9 Dec 2019 to 31 Dec 2023)
  • CF30 Customer (31 Oct 2008 to 8 Dec 2019)
  • CF4 Partner (31 Oct 2008 to 8 Dec 2019)
• Fraser McLatchie

  IRN FXM00103

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Gary de Vinchelez Le Sueur

  IRN GDL01031

  • SMF27 Partner (9 Dec 2019 to 1 Jul 2020)
  • CF30 Customer (31 Oct 2008 to 8 Dec 2019)
  • CF4 Partner (31 Oct 2008 to 8 Dec 2019)
• Jack Callum Senior

  IRN JXS00531

  • [FCA CF] Client dealing (since 3 Jun 2024)
• Jan Carol Rutherford

  IRN JCR01079

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (30 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
• Keith Robert Davidson

  IRN KRD01022

  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
  • CF4 Partner (1 Aug 2019 to 8 Dec 2019)
• Martin Francis Brennan

  IRN MFB01054

  • [FCA CF] Client dealing (since 9 Dec 2019)

No changes recorded yet.