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

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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, 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

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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, 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

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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, 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

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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, 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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  • · 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

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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 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

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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.

• 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

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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.

• Damon Jon Heath

  IRN DJH00134

  • 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
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Client dealing (since 24 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 24 Feb 2021)
  • [FCA CF] Manager of certification employee (since 24 Feb 2021)
  • [FCA CF] Material risk taker (since 24 Feb 2021)
  • [FCA CF] Significant management (since 24 Feb 2021)
  • CF4 Partner (3 Mar 2014 to 19 Nov 2019)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Daniel Ellis

  IRN DXE01210

  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
  • [FCA CF] Client dealing (since 1 Oct 2024)
• Daniel Moreno

  IRN DAM01235

  • CF30 Customer (26 May 2015 to 27 Oct 2017)
  • CF4 Partner (26 May 2015 to 5 Jul 2017)
• David Mark Shaw

  IRN DMS01284

  • 13. Giving personal recommendations on and dealing with derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on 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
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • CF4 Partner (6 Jul 2016 to 31 Dec 2016)
  • CF30 Customer (21 May 2014 to 8 Dec 2019)
• Dean Andrew Grehan

  IRN DAG00071

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on 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
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Algorithmic trading (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • CF30 Customer (24 Jun 2015 to 8 Dec 2019)
  • CF4 Partner (24 Jun 2015 to 31 Dec 2016)
• Diego Tafi

  IRN DXT01133

  • CF4 Partner (1 Mar 2014 to 14 Nov 2017)
  • CF30 Customer (1 Dec 2013 to 14 Nov 2017)
• Dimitrios Masselos

  IRN DXM02156

  • CF4 Partner (2 Aug 2013 to 11 Dec 2017)
  • CF30 Customer (2 Aug 2013 to 11 Dec 2017)
• Dragan Trajkov

  IRN DXT01428

  • [FCA CF] Client dealing (24 Feb 2021 to 7 Nov 2025)
  • CF30 Customer (27 Mar 2018 to 8 Dec 2019)
• Edward David Haig-Thomas

  IRN EDH01015

  • [FCA CF] Client dealing (25 Jan 2021 to 30 Sep 2024)
• Erik Donald Patrick Woolgar

  IRN EDW01020

  • [FCA CF] Client dealing (since 24 Feb 2021)
  • CF30 Customer (10 Apr 2015 to 8 Dec 2019)
  • CF4 Partner (10 Apr 2015 to 19 Nov 2019)

• 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.