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.

• Fiona Maria Calnan

  IRN FMC01025

  • CF13 Finance (2 Jun 2003 to 7 Jan 2005)
• Francisco Xavier Rodrigues

  IRN FXR01139

  • CF28 Systems and controls (19 Jun 2008 to 18 Apr 2010)
• Genevieve Christina Wigley

  IRN GXW00397

  • [FCA CF] Client dealing (since 11 Dec 2024)
• George Mortlock

  IRN GXM02174

  • CF30 Customer (10 Jul 2014 to 30 Apr 2015)
• Gregg Peter Cowie

  IRN GPC01037

  • SMF3 Executive Director (19 Oct 2020 to 31 Mar 2022)
  • CF29 Significant management (13 Sep 2019 to 8 Dec 2019)
• HARRY STUART DAVIS

  IRN HSD01033

  • [FCA CF] Client dealing (since 4 Jan 2021)
  • CF30 Customer (6 Sep 2017 to 8 Dec 2019)
• IAN MACQUEEN BATCHELOR

  IRN IMB01088

  • [FCA CF] Client dealing (since 15 Dec 2020)
  • [FCA CF] Manager of certification employee (since 15 Dec 2020)
  • CF30 Customer (31 Mar 2017 to 8 Dec 2019)
• Ian Brett Chicken

  IRN IBC01005

  • SMF16 Compliance Oversight (since 12 Dec 2024)
  • [FCA CF] Client dealing (since 20 Aug 2024)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 21 Aug 2024)
  • CF1 Director (2 Dec 2016 to 6 Dec 2019)
• Ian Buchanan Etherington

  IRN IBE01004

  • [FCA CF] Client dealing (since 21 Dec 2020)
  • CF30 Customer (12 Apr 2017 to 8 Dec 2019)
• Ian James Dibb

  IRN IJD01027

  • CF3 Chief Executive (21 Feb 2012 to 16 Nov 2018)
  • CF1 Director (3 Aug 2011 to 16 Nov 2018)

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

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

No changes recorded yet.