TETRAGON PARTNERS UK LLP

• Principal Place of Business

  4 Sloane Terrace

  London

  SW1X 9DQ

  UNITED KINGDOM

  Phone

  +4402079018300

  Web

  https://www.tetragoninv.com

• Complaints Contact

  4 Sloane Terrace

  London

  SW1X 9DQ

  UNITED KINGDOM

  Phone

  +4402079018300

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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, Spread Bet, 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.

• 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, Spread Bet, 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.

• 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, Spread Bet, 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, Spread Bet, 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, Spread Bet, 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.

• Manages Your Portfolio

  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, 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.

• Quentin Garrett Nason

  IRN QGN01001

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (29 Jul 2015 to 8 Dec 2019)
• Reade Eugene Griffith

  IRN REG01041

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 18 May 2020)
  • SMF27 Partner (9 Dec 2019 to 20 May 2022)
  • CF4 Partner (4 May 2011 to 8 Dec 2019)
  • CF3 Chief Executive (4 May 2011 to 8 Dec 2019)
  • CF30 Customer (4 May 2011 to 8 Dec 2019)
• Rheanna Filmner

  IRN RXF00316

  • [FCA CF] Client dealing (1 May 2024 to 31 Oct 2025)
• Rhys Howell

  IRN RXH00754

  • [FCA CF] Client dealing (since 25 Apr 2024)
• Rohit Kapur

  IRN RXK01141

  • CF30 Customer (28 Sep 2011 to 17 Jul 2012)
• Ross John Carden

  IRN RJC01283

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2025)
  • CF30 Customer (31 Aug 2016 to 8 Dec 2019)
• Ruaraidh Campbell

  IRN RXC00456

  • [FCA CF] Material risk taker (since 1 Jan 2022)
• Sam Gordon

  IRN SXG91937

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Santos Palacios

  IRN SXP01273

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2023)
  • CF30 Customer (4 May 2011 to 8 Dec 2019)
• Sara Miwa Cunningham

  IRN SMC01279

  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Sep 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Sep 2020)
  • CF10 Compliance Oversight (10 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Oct 2018 to 8 Dec 2019)

• GreenOak Euro Re Asset Management LLP (no longer appointed)

  FRN 577090 · Appointed 12 Mar 2012 · Until 6 Jul 2015 · Tied agent

• GreenOak Real Estate Advisors LLP (no longer appointed)

  FRN 531085 · Appointed 12 Jul 2011 · Until 6 Jul 2015 · Tied agent

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