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.

• Christopher Simmonds

  IRN CXS01500

  • CF30 Customer (25 Apr 2017 to 31 May 2018)
• Clive Brian Freeman

  IRN CXF01088

  • CF30 Customer (2 Jul 2014 to 10 Dec 2014)
• Craig Mark Albon

  IRN CMA01020

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (15 Sep 2017 to 8 Dec 2019)
• Daniela Elisa Fabris

  IRN DEF01022

  • [FCA CF] Client dealing (9 Dec 2020 to 2 Mar 2023)
  • CF30 Customer (12 Jul 2013 to 8 Dec 2019)
• Danny Henry Irving

  IRN DHI01011

  • [FCA CF] Proprietary trader (since 25 Oct 2024)
  • [FCA CF] Significant management (since 25 Oct 2024)
  • [FCA CF] Material risk taker (since 25 Oct 2024)
  • [FCA CF] Client dealing (since 22 Sep 2022)
• Danny Yiu Ming Chan

  IRN DXC00832

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• David Charles Malcolm Mudie

  IRN DCM01153

  • SMF3 Executive Director (9 Dec 2019 to 13 Nov 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 13 Nov 2023)
  • CF1 Director (3 Oct 2017 to 8 Dec 2019)
  • CF3 Chief Executive (9 Aug 2017 to 8 Dec 2019)
• David Peter Ball

  IRN DPB01060

  • [FCA CF] Client dealing (28 Nov 2022 to 6 Nov 2023)
• David Sigmund Richards

  IRN DSR01035

  • [FCA CF] Significant management (3 Oct 2022 to 28 Jan 2025)
  • CF30 Customer (11 Sep 2014 to 8 Jan 2016)
• Dominic Anthony Howell

  IRN DXH01317

  • CF30 Customer (27 Mar 2014 to 8 Dec 2019)

• Interfin Partners Limited (no longer appointed)

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

No changes recorded yet.