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.

• Neil George Ashbery

  IRN NGA01015

  • [FCA CF] Significant management (since 10 Dec 2020)
  • [FCA CF] Manager of certification employee (since 10 Dec 2020)
  • CF29 Significant management (28 May 2019 to 8 Dec 2019)
  • CF30 Customer (28 Oct 2017 to 8 Dec 2019)
• Nicholas French Burgin

  IRN NFB01024

  • CF1 Director (20 Dec 2006 to 12 Feb 2015)
• OLIVER DAVID ASHBERY

  IRN ODA01011

  • [FCA CF] Client dealing (since 4 Jan 2021)
  • CF30 Customer (31 Aug 2017 to 8 Dec 2019)
• PETER DAMIAN FINDLAY

  IRN PDF01054

  • [FCA CF] Client dealing (since 6 Oct 2025)
  • CF30 Customer (31 Aug 2017 to 8 Dec 2019)
• Parys Rose Harper

  IRN PRH01183

  • [FCA CF] Client dealing (17 Dec 2020 to 30 Sep 2022)
  • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
• Paul Dawney

  IRN PXD01230

  • CF28 Systems and controls (23 Jul 2019 to 8 Dec 2019)
• Paul Dempsey

  IRN PXD01636

  • CF28 Systems and controls (27 May 2010 to 1 Dec 2011)
• Paul Joseph Burke

  IRN PJB01272

  • [FCA CF] Significant management (since 1 May 2022)
• Paul Newman

  IRN PXN01065

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF1 Director (4 Dec 2017 to 6 Dec 2019)
• Peter Francis Winfield Weston

  IRN PFW01025

  • SMF16 Compliance Oversight (9 Dec 2019 to 29 Apr 2022)
  • CF11 Money Laundering Reporting (22 Feb 2002 to 2 Sep 2013)
  • CF10 Compliance Oversight (22 Feb 2002 to 8 Dec 2019)

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

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

No changes recorded yet.