TFS VOLBROKER LIMITED

• Principal Place of Business

  110 Bishopsgate

  London

  London

  EC2A 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

  Web

  https://www.traditionicap.com

• Complaints Contact

  Beaufort House

  15 St. Botolph Street

  London

  EC3A 7QX

  UNITED KINGDOM

  Phone

  +4402071981500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), 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, Spread Bet

  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 advice described in article 6(4)(b) of the Financial Services and Markets Act 2000 (Transitional Provisions) (Authorised Persons etc.) Order 2001.

• 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, 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), 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, Spread Bet

  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.

• Investment Setup

  For Eligible Counterparty, Professional, 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), 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, Spread Bet

  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.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, 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), 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, Spread Bet

  Show 1 limitation Hide limitations

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

• Daniel Steven Denardis

  IRN DXD01199

  • CF1 Director (26 Jun 2002 to 13 Jun 2003)
• David Anthony Casterton

  IRN DAC01132

  • CF1 Director (17 Apr 2012 to 15 Sep 2016)
• David Charles Ireland

  IRN DCI01009

  • CF1 Director (2 Dec 2016 to 8 Aug 2019)
• David Charles Pinchin

  IRN DXP01245

  • CF1 Director (1 Dec 2001 to 31 Aug 2009)
  • CF3 Chief Executive (1 Dec 2001 to 31 Aug 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• David Moses Gelber

  IRN DXG01235

  • CF1 Director (1 Dec 2001 to 5 Feb 2010)
• Dean Robbie Aylott

  IRN DXA00155

  • [FCA CF] Client dealing (since 17 Dec 2020)
• Dennis McCombie

  IRN DXM01479

  • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Feb 2002)
• Ellen Miller

  IRN EXM00327

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jan 2023)
• Elvis Millen

  IRN EXM00360

  • [FCA CF] Client dealing (since 5 Jun 2023)
• Evan Lewis Binney

  IRN ELB01082

  • CF30 Customer (13 Apr 2017 to 12 Sep 2018)

• TFS-ICAP Currency Options Limited (no longer appointed)

  FRN 208385 · Appointed 12 Feb 2002 · Until 11 Feb 2003

No changes recorded yet.