Sparrows Capital Limited

• Principal Place of Business

  Office 7

  35-37 Ludgate Hill

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +442037144624

  Web

  https://www.sparrowscapital.com

• Complaints Contact

  Office 7

  35-37 Ludgate Hill

  London

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +442037144624

• Investment Advice (no pensions)

  For Professional, Retail (Investment), 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• 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 Professional, Retail (Investment), 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), 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), 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 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Stockbroking

  For Professional, Retail (Investment), 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Investment Setup

  For Professional, Retail (Investment), 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Manages Your Portfolio

  For Professional, Retail (Investment), 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), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Adrian John Durham

  IRN AJD01264

  • Director of firm who is not a certification employee or a SMF manager (7 Mar 2023 to 22 Sep 2024)
• Alistair Graham Meadows

  IRN AGM01176

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Feb 2026)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Anthony Christodoulou

  IRN AXC01552

  • CF30 Customer (4 Jun 2014 to 14 Apr 2015)
• Bridget Mary Andrews

  IRN BMA01012

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jul 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jul 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jul 2020)
  • CF11 Money Laundering Reporting (24 Nov 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Nov 2016 to 8 Dec 2019)
• Claire Elizabeth Catherine Finn

  IRN CEF01055

  • Director of firm who is not a certification employee or a SMF manager (since 26 Feb 2020)
• David Cropper Ogden

  IRN DCO01010

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Oct 2020)
  • SMF16 Compliance Oversight (since 23 Oct 2020)
• Ehud Menashe Eliashar

  IRN EME01017

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Jun 2020)
  • CF1 Director (4 Jun 2014 to 8 Dec 2019)
• Emma Burgess-Webb

  IRN EXB01706

  • CF30 Customer (9 May 2017 to 30 Mar 2018)
• Fahd Rachidy

  IRN FXR01068

  • CF30 Customer (4 Jun 2014 to 5 May 2017)
• Jason Wong

  IRN JXW88314

  • [FCA CF] Functions requiring qualifications (21 Feb 2020 to 19 Feb 2021)
  • [FCA CF] Client dealing (21 Feb 2020 to 19 Feb 2021)

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