Sigma Broking Limited

• Principal Place of Business

  Sigma Broking Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119695

  Web

  https://www.sigma-broking.com

• Complaints Contact

  Sigma Broking Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119546

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share

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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

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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

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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, 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

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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

  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.

• Michael Thompson

  IRN MXT01628

  • [FCA CF] Client dealing (9 Dec 2020 to 20 Mar 2023)
  • CF30 Customer (31 May 2017 to 8 Dec 2019)
• Myles Lewis Alan Shaw

  IRN MLS01128

  • CF30 Customer (12 Sep 2014 to 30 Jul 2018)
• Myriam Dahan

  IRN KMD01061

  • CF30 Customer (11 Dec 2018 to 31 May 2019)
• Neil Brian Potter

  IRN NBP01008

  • [FCA CF] Client dealing (29 Oct 2024 to 5 Jan 2026)
  • [FCA CF] Proprietary trader (29 Oct 2024 to 5 Jan 2026)
• Nicholas James Runcorn

  IRN NXR01158

  • CF30 Customer (13 Nov 2015 to 25 Apr 2016)
• Nicholas Robinson

  IRN NJR01158

  • CF30 Customer (19 Dec 2017 to 6 Aug 2018)
• Niteen Sharma

  IRN NXS01154

  • SMF16 Compliance Oversight (18 Sep 2024 to 31 Jan 2025)
  • [FCA CF] Material risk taker (18 Sep 2024 to 31 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Sep 2024 to 31 Jan 2025)
• Patrick Kane

  IRN PXK00457

  • [FCA CF] Client dealing (15 Sep 2025 to 19 Jan 2026)
• Patrick Molloy

  IRN PJM01367

  • CF30 Customer (10 Nov 2016 to 28 Jun 2017)
• Paul Robert Apps

  IRN PRA01032

  • [FCA CF] Client dealing (12 Sep 2022 to 25 Oct 2024)
  • [FCA CF] Material risk taker (12 Sep 2022 to 25 Oct 2024)

• Interfin Partners Limited (no longer appointed)

  FRN 765243 · Appointed 25 Jul 2017 · Until 28 Feb 2019

No changes recorded yet.