Serone Capital Management LLP

• Principal Place of Business

  110 Cannon Street

  London

  City Of London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +442034057350

  Web

  https://www.serone.com

• Complaints Contact

  110 Cannon Street

  London

  EC4N 6EU

  UNITED KINGDOM

  Phone

  +442034057350

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), 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.

• 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, 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), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, 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), 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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), 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.

• . Serone Capital Management (UK) Limited

  IRN XXS01136

  • SMF27 Partner (9 Dec 2019 to 23 Jan 2020)
  • CF4 Partner (5 Mar 2010 to 8 Dec 2019)
• Aashna Halley-Stott

  IRN AXS05217

  • [FCA CF] Client dealing (since 19 Jun 2024)
• Adrian Nicholas King

  IRN ANK00019

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Jun 2021 to 19 Jan 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jun 2021 to 19 Jan 2023)
  • CF30 Customer (18 May 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Mar 2010 to 13 Jun 2016)
  • CF11 Money Laundering Reporting (5 Mar 2010 to 13 Jun 2016)
  • CF4 Partner (5 Mar 2010 to 8 Dec 2019)
• Alan Cauberghs

  IRN ACC01096

  • CF30 Customer (9 Apr 2010 to 31 Dec 2012)
  • CF4 Partner (9 Apr 2010 to 31 Dec 2012)
• Alan Stuart McLean

  IRN ASM01071

  • [FCA CF] Client dealing (since 9 Jun 2025)
  • SMF27 Partner (since 26 May 2022)
• Alexander Forrest

  IRN AXF02115

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2018 to 8 Dec 2019)
• Alexander Vaskevitch

  IRN AXV01184

  • CF30 Customer (30 Jan 2012 to 30 Jun 2014)
  • CF4 Partner (30 Jan 2012 to 30 Jun 2014)
• Annabel Kathryn Koehli

  IRN AXK00727

  • [FCA CF] Client dealing (since 27 Jun 2023)
• Arthur Patrick Wills

  IRN APW01160

  • [FCA CF] Client dealing (since 5 Feb 2026)
• Arun Parmar

  IRN AXP00367

  • [FCA CF] Client dealing (since 1 Mar 2021)

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