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.

• Jonathan Ellis Critchley

  IRN JEC01161

  • CF4 Partner (1 Mar 2014 to 31 Dec 2016)
  • CF30 Customer (31 Jul 2013 to 5 Feb 2019)
• Jose Alejandro Benedicto Scott

  IRN JAB01386

  • CF4 Partner (AR) (2 Jun 2014 to 14 Oct 2015)
  • CF30 Customer (23 May 2014 to 1 Jun 2015)
• Junyu Zhang

  IRN JXZ00086

  • [FCA CF] Client dealing (1 Oct 2024 to 3 Jul 2025)
• Keith Dowsing

  IRN KXD01094

  • [FCA CF] Client dealing (since 20 Apr 2021)
• Kenneth Gordon Watters

  IRN KGW01025

  • CF4 Partner (AR) (2 Jun 2014 to 1 Jun 2015)
  • CF30 Customer (26 May 2014 to 1 Jun 2015)
• LUCA VILLANTI

  IRN LXV01135

  • CF4 Partner (15 Aug 2016 to 3 Oct 2019)
  • CF30 Customer (29 Jun 2016 to 3 Oct 2019)
• Lorna Kathryn Summerfield

  IRN LXS25032

  • SMF27 Partner (25 Feb 2020 to 11 Aug 2022)
• Maitane Fernandez De Mendiola

  IRN MXF01194

  • CF4 Partner (21 Oct 2014 to 30 Sep 2017)
  • CF30 Customer (21 Oct 2014 to 8 Dec 2019)
• Mark Justin Truman

  IRN MJT01095

  • CF30 Customer (27 Mar 2018 to 28 Sep 2018)
• Mark Wickham Steed

  IRN MWS01026

  • CF10a CASS Oversight function (21 Mar 2013 to 22 Aug 2013)
  • CF11 Money Laundering Reporting (18 Oct 2011 to 28 Apr 2014)
  • CF30 Customer (18 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (18 Oct 2011 to 18 Oct 2011)
  • CF10 Compliance Oversight (18 Oct 2011 to 28 Apr 2014)

• 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.