Swissquote Ltd

• Principal Place of Business

  Swiss Quote Ltd

  Boston House 63-64

  New Broad Street

  London

  City Of London

  EC2M 1JJ

  UNITED KINGDOM

  Phone

  +442071862600

  Web

  https://www.swissquote.co.uk

• Complaints Contact

  Swiss Quote Ltd

  Boston House 63-64

  New Broad Street

  London

  City Of London

  EC2M 1JJ

  UNITED KINGDOM

  Phone

  +442071862600

• 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, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.
  • · 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

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Hayley Clark

  IRN HXC01314

  • CF10a CASS Oversight function (6 Apr 2017 to 20 Jun 2017)
  • CF28 Systems and controls (6 Apr 2017 to 20 Jun 2017)
  • CF11 Money Laundering Reporting (14 Mar 2017 to 10 May 2018)
  • CF10 Compliance Oversight (21 Feb 2014 to 4 Sep 2014)
• Hisham George Butros Mansour

  IRN HGM01015

  • CF2 Non Executive Director (2 May 2012 to 25 Mar 2014)
• Jack Henry Rawlings

  IRN JHR01093

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Dec 2022)
  • SMF3 Executive Director (since 20 Dec 2022)
  • SMF16 Compliance Oversight (since 12 Jan 2021)
• Jan Elias De Schepper

  IRN JXD01063

  • Director of firm who is not a certification employee or a SMF manager (since 11 Jul 2025)
• Jason Rickards

  IRN JXR01771

  • CF10 Compliance Oversight (3 Dec 2018 to 31 Jan 2019)
  • CF11 Money Laundering Reporting (29 May 2018 to 31 Jan 2019)
• Jorge Luis Darias Abreu

  IRN JLD01091

  • CF30 Customer (26 Jun 2012 to 8 Dec 2019)
• Jude Bahnan

  IRN JXB01430

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (29 Oct 2014 to 27 Aug 2015)
  • CF10 Compliance Oversight (29 Oct 2014 to 27 Aug 2015)
  • CF2 Non Executive Director (2 May 2012 to 29 Oct 2014)
• Madlen Acar

  IRN MXA03993

  • CF28 Systems and controls (18 Jul 2017 to 10 May 2018)
  • CF10a CASS Oversight function (18 Jul 2017 to 10 May 2018)
• Mark Koch

  IRN MXK02174

  • CF2 Non Executive Director (3 Apr 2013 to 12 Dec 2013)
• Mark Payne

  IRN MDP01065

  • CF1 Director (2 May 2012 to 17 Sep 2012)
  • CF10 Compliance Oversight (2 May 2012 to 17 Sep 2012)
  • CF10a CASS Oversight function (2 May 2012 to 17 Sep 2012)
  • CF11 Money Laundering Reporting (2 May 2012 to 17 Sep 2012)

No changes recorded yet.