Sova Capital Limited

• Principal Place of Business

  5-7 Ireland Yard

  London

  EC4V 5EH

  UNITED KINGDOM

  Phone

  +441216190120

  Web

  http://www.sovacapital.com

• Complaints Contact

  c/o Teneo Financial Advisory Limited

  The Colmore Building

  20 Colmore Circus, Queensway

  Birmingham

  B4 6AT

  UNITED KINGDOM

  Phone

  +4401216190120

• 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, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  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, 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.

• Trade Settlement Routing

  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

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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, 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.

• 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, 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.

• 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, 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.

• Holds Your Assets

  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, 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.

• Electronic Trade Settlement

  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

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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.

• Carly Ambler

  IRN CXA01676

  • [FCA CF] Algorithmic trading (1 Apr 2021 to 20 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 May 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 20 May 2022)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 20 May 2022)
  • CF30 Customer (7 Jul 2018 to 8 Dec 2019)
• Christopher James McLoughlin

  IRN CXM01663

  • CF30 Customer (17 Dec 2013 to 9 Mar 2015)
• Christopher Peter Lyons

  IRN CPL01012

  • CF11 Money Laundering Reporting (17 Apr 2008 to 15 Mar 2010)
  • CF1 Director (17 Apr 2008 to 15 Mar 2010)
  • CF2 Non Executive Director (9 Apr 2008 to 17 Apr 2008)
• Colin Albert Smith

  IRN CAS01072

  • CF30 Customer (9 Apr 2008 to 31 Jul 2009)
• Darius Kezinaitis

  IRN DXK01308

  • CF30 Customer (5 Feb 2009 to 29 Feb 2012)
• David Leonard Brockman

  IRN DLB01035

  • CF30 Customer (15 Oct 2009 to 16 Nov 2011)
• David Moss

  IRN DXM01521

  • CF10 Compliance Oversight (31 Jan 2013 to 20 Jul 2018)
  • CF11 Money Laundering Reporting (19 Aug 2010 to 20 Jul 2018)
• Denis Zabolotnev

  IRN DXZ00012

  • [FCA CF] Manager of certification employee (23 Nov 2020 to 28 Apr 2022)
  • [FCA CF] Significant management (16 Oct 2020 to 28 Apr 2022)
  • [FCA CF] Material risk taker (16 Oct 2020 to 28 Apr 2022)
  • [FCA CF] Client dealing (16 Oct 2020 to 28 Apr 2022)
• Dipan Shah

  IRN DXS02022

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Aug 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 4 Aug 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Aug 2023)
  • SMF18 Other Overall Responsibility (9 Dec 2019 to 1 Apr 2021)
  • [FCA CF] Algorithmic trading (9 Dec 2019 to 4 Aug 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 4 Aug 2023)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 4 Aug 2023)
  • CF29 Significant management (6 Aug 2018 to 8 Dec 2019)
  • CF30 Customer (2 Sep 2009 to 8 Dec 2019)
• Dmitry Poliakov

  IRN DXP01560

  • CF30 Customer (20 Apr 2011 to 30 Jun 2012)

• Rutherford Capital Markets Limited (no longer appointed)

  FRN 477127 · Appointed 2 Jan 2008 · Until 26 Jun 2008

No changes recorded yet.