Southey Capital Ltd

Date authorised
13 April 2016
Companies House
09411731
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Suite 6
    Beaufort Court
    Admirals Way
    London
    E14 9XL
    UNITED KINGDOM
    Phone
    +4402037457940
    Web
    https://southeycapital.com

  • Complaints Contact

    Suite 6
    Beaufort Court
    Admirals Way
    London
    E14 9XL
    UNITED KINGDOM
    Phone
    +4402037457940

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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
    • · 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, Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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, Certificates representing certain security, Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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, Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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, Debenture, 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, Unit, Warrant

    Show 2 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.
    • · 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 Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Mihailo Nikolic Uskokovic

    IRN MXN01560

    • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
  • Patricia Eva Pietraszko

    IRN PEP01031

    • [FCA CF] Client dealing (24 Jan 2025 to 31 Jan 2025)
  • Patrick Macnamara

    IRN PXM01429

    • [FCA CF] Client dealing (since 15 Nov 2021)
  • Raffaele PIEMONTESE

    IRN RXP02377

    • CF30 Customer (22 Dec 2017 to 10 Apr 2018)
  • Robert Southey

    IRN RXS02192

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (13 Apr 2016 to 8 Dec 2019)
    • CF3 Chief Executive (13 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Apr 2016 to 8 Dec 2019)
    • CF1 Director (13 Apr 2016 to 8 Dec 2019)
  • Sawan Sandeep Kumar Kapoor

    IRN SXK01721

    • CF30 Customer (14 Mar 2019 to 1 Apr 2019)
  • Volha Hibezh

    IRN VXH01156

    • CF30 Customer (31 Jan 2018 to 26 Mar 2018)

Recent activity

Updates to this firm's record on the FCA register.

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