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.

• Larry Rosenshein

  IRN LXR01249

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 13 Sep 2023)
  • CF1 Director (16 Jan 2019 to 8 Dec 2019)
  • CF3 Chief Executive (15 Jun 2018 to 8 Dec 2019)
• Louis William Thompson

  IRN LXT00100

  • [FCA CF] Client dealing (4 Jan 2021 to 31 Jan 2023)
• MARC SIMON COHEN

  IRN MSC01164

  • [FCA CF] Client dealing (since 21 Dec 2020)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• MATTHEW ARVANITIS

  IRN MXA04024

  • [FCA CF] Client dealing (4 Jan 2021 to 31 Dec 2022)
  • CF30 Customer (23 Aug 2017 to 8 Dec 2019)
• Maria Anne-Laure El Fathi

  IRN MAE01120

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 May 2023)
  • CF11 Money Laundering Reporting (2 Sep 2013 to 8 Dec 2019)
• Mark Schlater

  IRN MXS02731

  • CF1 Director (14 Jul 2010 to 12 Feb 2015)
• Michael Alan Spencer

  IRN MAS01216

  • CF1 Director (1 Dec 2001 to 19 Jun 2006)
• Michael Edward Ashbery

  IRN MEA01021

  • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2002)
• Michael Leibowitz

  IRN MXL01263

  • CF3 Chief Executive (23 Sep 2009 to 16 Aug 2012)
  • CF1 Director (5 Dec 2005 to 23 Oct 2018)
• Neehal Shah

  IRN NXS01199

  • CF1 Director (27 Jun 2002 to 12 May 2011)

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

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

No changes recorded yet.