ShadowFall Capital & Research LLP

• Principal Place of Business

  5th Floor

  55 Bartholomew Close

  London

  London

  EC1A 7BF

  UNITED KINGDOM

  Phone

  +4402079522608

  Web

  https://www.shadowfall.com

• Complaints Contact

  5th Floor

  55 Bartholomew Close

  London

  London

  EC1A 7BF

  UNITED KINGDOM

  Phone

  +442079522608

• 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.

• 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 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

  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.

• Aidan Philipson

  IRN AXP02234

  • CF30 Customer (7 Oct 2019 to 8 Dec 2019)
• Brandon Rhys Cole

  IRN BXC13320

  • SMF27 Partner (8 Jan 2024 to 31 Dec 2024)
  • [FCA CF] Significant management (29 Aug 2023 to 31 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • CF30 Customer (8 Apr 2019 to 3 Apr 2024)
• Etienne Matthieu

  IRN EXM00417

  • [FCA CF] Client dealing (8 Apr 2024 to 12 May 2025)
• Harry Maude

  IRN HXM00115

  • [FCA CF] Client dealing (since 8 Mar 2021)
• Joseph Stanley Peter Clark

  IRN JXC01388

  • [FCA CF] Client dealing (8 Apr 2024 to 8 Jan 2026)
• Julian Richard Anthony Hull

  IRN JRH01233

  • CF30 Customer (3 Sep 2021 to 9 Apr 2024)
  • [FCA CF] Client dealing (10 May 2021 to 1 Mar 2024)
• Kirsty Louise Morris

  IRN KLM01088

  • SMF27 Partner (since 18 Jan 2024)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (7 Sep 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Sep 2018 to 8 Dec 2019)
• Lara Rodriguez San Cipriano

  IRN LXR18681

  • CF30 Customer (3 Sep 2021 to 25 Jul 2022)
  • [FCA CF] Client dealing (11 Jan 2021 to 25 Jul 2022)
• Mark James Westcott

  IRN MJW01504

  • SMF27 Partner (9 Dec 2019 to 21 Jul 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Jul 2021)
  • CF11 Money Laundering Reporting (12 Oct 2017 to 11 Sep 2018)
  • CF10 Compliance Oversight (12 Oct 2017 to 11 Sep 2018)
  • CF30 Customer (12 Oct 2017 to 8 Dec 2019)
  • CF4 Partner (12 Oct 2017 to 8 Dec 2019)
• Matthew Peter Earl

  IRN MXE01288

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 20 Apr 2022)
  • CF1 Director (AR) (26 Jul 2019 to 3 Apr 2024)
  • CF30 Customer (12 Oct 2017 to 3 Apr 2024)
  • CF4 Partner (12 Oct 2017 to 8 Dec 2019)

• Dragoneye Research Limited (no longer appointed)

  FRN 842414 · Appointed 20 May 2019 · Until 9 Apr 2024

No changes recorded yet.