Shard Capital Partners LLP

• Principal Place of Business

  6th Floor

  51 Lime Street

  London

  EC3M 7DQ

  UNITED KINGDOM

  Phone

  +442071869900

  Web

  https://www.shardcapital.com

• Complaints Contact

  6th Floor

  51 Lime Street

  London

  EC3M 7DQ

  UNITED KINGDOM

  Phone

  +442071869900

• Investment Advice (no pensions)

  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), 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.

• 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), 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), 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, 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.

• Arranges Asset Safekeeping

  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), 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, 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, 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), 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.

• Trades With You Directly

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

  Show 2 limitations Hide limitations

  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis
  • · 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, 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.

• Manages Your Portfolio

  For 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), 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.

• Holds Your Assets

  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), 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.

• Roderick Arthur Scott

  IRN RAS01135

  • [FCA CF] Client dealing (25 Jan 2021 to 31 Jan 2025)
• Ronald Andrew Alder

  IRN RAA01033

  • [FCA CF] Client dealing (8 Mar 2021 to 30 Nov 2023)
  • CF4 Partner (1 Mar 2014 to 19 Nov 2019)
  • CF30 Customer (8 Oct 2013 to 8 Dec 2019)
• Ross Legon

  IRN RXL01444

  • [FCA CF] Functions requiring qualifications (24 Feb 2021 to 6 Dec 2024)
  • [FCA CF] Client dealing (24 Feb 2021 to 6 Dec 2024)
  • CF30 Customer (9 Apr 2015 to 8 Dec 2019)
  • CF4 Partner (9 Apr 2015 to 31 Mar 2017)
• Sara Helen Simmons

  IRN SHS01029

  • CF30 Customer (28 Mar 2018 to 5 Nov 2018)
• Sheila Pejavar

  IRN SXP01445

  • CF30 Customer (10 May 2017 to 21 Aug 2017)
• Sheldon James Modeland

  IRN SXM03181

  • [FCA CF] Client dealing (since 6 Nov 2024)
• Simon Alexander Legge

  IRN SAL01101

  • CF4 Partner (31 Oct 2013 to 17 May 2018)
  • CF30 Customer (30 Jan 2012 to 17 May 2018)
• Simon Christopher Niven

  IRN SCN01008

  • 3. Giving personal recommendations on derivatives
  • 13. Giving personal recommendations on and dealing with derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Proprietary trader (since 8 Mar 2021)
  • [FCA CF] Material risk taker (since 8 Mar 2021)
  • [FCA CF] Manager of certification employee (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • CF4 Partner (1 Mar 2014 to 31 Dec 2016)
  • CF30 Customer (14 Oct 2013 to 8 Dec 2019)
• Simon David Carter

  IRN SDC01123

  • CF10 Compliance Oversight (28 Apr 2014 to 31 Jan 2018)
  • CF11 Money Laundering Reporting (28 Apr 2014 to 31 Jan 2018)
• Simon David Hughes

  IRN SXH00418

  • [FCA CF] Manager of certification employee (24 Feb 2021 to 18 Jan 2022)

• Riverfort Global Capital Ltd (no longer appointed)

  FRN 745267 · Appointed 26 Apr 2016 · Until 19 Apr 2017

• Rubrics Asset Management (UK) Limited (no longer appointed)

  FRN 694948 · Appointed 12 May 2015 · Until 18 Jul 2019

• Shard Credit Partners Ltd (no longer appointed)

  FRN 622819 · Appointed 7 May 2014 · Until 23 Nov 2015

No changes recorded yet.