Sucden Financial Limited

• Principal Place of Business

  Sucden Financial Ltd

  60 Great Tower Street

  London

  City Of London

  EC3R 5AZ

  UNITED KINGDOM

  Phone

  +4402032075000

  Web

  https://www.sucdenfinancial.com

• Complaints Contact

  Sucden Financial Ltd

  60 Great Tower Street

  London

  City Of London

  EC3R 5AZ

  UNITED KINGDOM

  Phone

  +4402032075000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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

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

• 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, Binary Bet, 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

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Binary Bet, 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, Life Policy, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Binary Bet, 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

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Binary Bet, 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

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

• Consumer Hire

• Consumer Hire Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Binary Bet, 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

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Binary Bet, 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, Life Policy, 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.

• Peter James Brooks

  IRN PJB01264

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Feb 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2023)
  • CF30 Customer (23 Feb 2009 to 8 Dec 2019)
• Peter John Mathias

  IRN PJM01227

  • CF30 Customer (1 Nov 2007 to 15 Sep 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Peter Michael King

  IRN PMK01020

  • CF30 Customer (17 Jan 2011 to 11 Feb 2011)
• Peter Whiting Hoyt

  IRN PWH01080

  • CF30 Customer (1 Nov 2007 to 31 May 2009)
  • CF21 Investment Adviser (10 Nov 2006 to 31 Oct 2007)
• Philip Michael Wheeler

  IRN PMW01073

  • CF30 Customer (1 Nov 2007 to 7 Sep 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Pierre Alix Favillier

  IRN PXF01316

  • [FCA CF] Proprietary trader (since 26 Feb 2025)
  • [FCA CF] Client dealing (since 10 Aug 2023)
• Pritesh Ruparel

  IRN PMR01117

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jul 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 7 Jul 2021)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 7 Jul 2021)
  • CF30 Customer (6 Jun 2016 to 8 Dec 2019)
• Rafael Caporale

  IRN RXC01546

  • [FCA CF] Proprietary trader (9 Dec 2019 to 1 Mar 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2024)
  • CF30 Customer (20 Jun 2019 to 8 Dec 2019)
• Raj Kumar Sunder Sitlani

  IRN RKS01047

  • CF30 Customer (5 May 2009 to 7 Nov 2014)
• Ralph Christoper Mark Wilkins

  IRN RCW01102

  • CF30 Customer (4 Jan 2012 to 22 May 2012)

• ALPHA FX (no longer appointed)

  FRN 709845 · Appointed 10 Jul 2015 · Until 25 Dec 2015

No changes recorded yet.