Sigma Private Office Limited

• Principal Place of Business

  Sigma Broking Ltd, 125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119686

  Web

  https://www.sigmaprivate.com

• Complaints Contact

  Sigma Broking Ltd, 125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119686

• 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 Professional, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 Professional, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 Professional, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Investment Setup

  For Professional, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Alasdair John Birch

  IRN AJB01757

  • [FCA CF] Client dealing (8 Sep 2021 to 13 Mar 2024)
• Bettina Edmondston

  IRN BXR01086

  • [FCA CF] Client dealing (23 Feb 2021 to 13 Mar 2024)
  • CF30 Customer (1 Jan 2015 to 8 Dec 2019)
• Craig Hamilton Yeaman

  IRN CHY01001

  • CF30 Customer (16 Jun 2008 to 31 Jul 2017)
• Daniel Avraham Leaf

  IRN DAL01082

  • CF11 Money Laundering Reporting (21 Feb 2011 to 27 May 2014)
  • CF1 Director (14 Dec 2010 to 27 May 2014)
  • CF30 Customer (14 Dec 2010 to 27 May 2014)
• David Andrew Clark

  IRN DAC01172

  • [FCA CF] Client dealing (24 Feb 2021 to 30 Sep 2023)
  • CF30 Customer (11 Mar 2019 to 8 Dec 2019)
• David Michael Keir

  IRN DMK01031

  • SMF1 Chief Executive (30 Jan 2020 to 5 Jan 2021)
  • SMF3 Executive Director (9 Dec 2019 to 5 Jan 2021)
  • CF1 Director (2 Jan 2017 to 8 Dec 2019)
  • CF30 Customer (20 Jul 2013 to 8 Dec 2019)
• Ernest Laidlaw McKnight

  IRN ELM01020

  • CF27 Investment Management (10 Feb 2003 to 29 Apr 2003)
• Gary Collins

  IRN GXC21027

  • Director of firm who is not a certification employee or a SMF manager (27 Apr 2022 to 14 Dec 2022)
• Gary Marshall

  IRN GRM01058

  • Director of firm who is not a certification employee or a SMF manager (23 Jan 2023 to 30 Jul 2024)
• Graham Hugh Campbell

  IRN GHC01014

  • SMF1 Chief Executive (15 Mar 2021 to 30 Jul 2024)
  • [FCA CF] Client dealing (2 Mar 2021 to 13 Mar 2024)
  • SMF16 Compliance Oversight (31 Mar 2020 to 30 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jul 2024)
  • CF10 Compliance Oversight (19 Feb 2011 to 8 Oct 2019)
  • CF3 Chief Executive (14 Dec 2010 to 8 Oct 2019)
  • CF30 Customer (14 Dec 2010 to 8 Dec 2019)
  • CF1 Director (14 Dec 2010 to 8 Dec 2019)

No changes recorded yet.