Sovereign Capital Partners LLP

• Principal Place of Business

  25 Victoria Street

  London

  SW1H 0EX

  UNITED KINGDOM

  Phone

  +4402073408800

  Web

  https://www.sovereigncapital.co.uk

• Complaints Contact

  25 Victoria Street

  London

  SW1H 0EX

  UNITED KINGDOM

  Phone

  +4402073408800

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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 (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to activities in connection with the operation of an unregulated Collective Investment Scheme.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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

  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.

• Runs Investment Funds

• Investment Setup

  For Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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

  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.

• Alexander Hay

  IRN AXH01708

  • SMF27 Partner (since 2 Mar 2022)
  • [FCA CF] Client dealing (since 4 Nov 2021)
• Andrew Charles George Hayden

  IRN ACH01056

  • SMF9 Chair of the Governing Body (since 8 Jul 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 8 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (21 Oct 2005 to 31 Oct 2007)
  • CF3 Chief Executive (21 Oct 2005 to 8 Dec 2019)
  • CF27 Investment Management (30 Nov 2004 to 31 Oct 2007)
  • CF4 Partner (30 Nov 2004 to 8 Dec 2019)
• Andrew Derek Pars

  IRN AXP01274

  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF28 Systems and controls (13 Apr 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Apr 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Apr 2017 to 8 Dec 2019)
  • CF4 Partner (13 Apr 2017 to 8 Dec 2019)
  • CF30 Customer (13 Apr 2017 to 8 Dec 2019)
• David John Myers

  IRN DJM01254

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • CF30 Customer (10 Aug 2010 to 8 Dec 2019)
  • CF4 Partner (10 Aug 2010 to 8 Dec 2019)
• Dominic Stephen Dalli

  IRN DSD01031

  • SMF1 Chief Executive (since 6 Apr 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Aug 2010 to 8 Dec 2019)
  • CF4 Partner (10 Aug 2010 to 8 Dec 2019)
• Jeremy Alexander Morgan

  IRN JAM01466

  • SMF27 Partner (since 21 Feb 2022)
  • [FCA CF] Client dealing (since 21 Oct 2021)
  • CF30 Customer (11 Dec 2015 to 8 Dec 2019)
• John Alfred Stoddard Nash

  IRN JAN01051

  • CF30 Customer (1 Nov 2007 to 10 Jan 2013)
  • CF4 Partner (30 Nov 2004 to 10 Jan 2013)
  • CF27 Investment Management (30 Nov 2004 to 31 Oct 2007)
• Jonathan Paul Thorne

  IRN JXT00374

  • [FCA CF] Client dealing (since 21 Oct 2021)
• Kevin Richardson Whittle

  IRN KXW01200

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (9 Dec 2019 to 21 Oct 2021)
  • CF4 Partner (10 Aug 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (29 Jun 2005 to 31 Oct 2007)
• Matthew Alexander Owen

  IRN MAO01031

  • SMF27 Partner (since 21 Feb 2022)
  • [FCA CF] Client dealing (since 16 Nov 2021)
  • CF30 Customer (21 Jun 2013 to 8 Dec 2019)

No changes recorded yet.