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.

• Philip Llewellyn

  IRN PXL01556

  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Aug 2023 to 27 Aug 2024)
  • SMF16 Compliance Oversight (24 Jun 2022 to 27 Aug 2024)
  • [FCA CF] Significant management (5 May 2021 to 1 Mar 2024)
• Philip Regan

  IRN PXR01485

  • CF28 Systems and controls (23 May 2008 to 19 Mar 2010)
• RICHARD DOUGLAS HAZLEY PAYNE

  IRN RDP01101

  • [FCA CF] Client dealing (since 22 Dec 2020)
  • CF30 Customer (12 Apr 2017 to 8 Dec 2019)
• Robert Anthony McTamaney

  IRN RXM01356

  • CF1 Director (26 Jun 2002 to 20 Dec 2006)
• Robert Glenn Smith

  IRN RGS01059

  • CF1 Director (7 May 2004 to 29 Jun 2006)
• Robin Wemyss

  IRN RAW01127

  • CF1 Director (4 Nov 2015 to 21 Nov 2017)
• Rupert Hodges

  IRN RDH01074

  • CF1 Director (17 Apr 2012 to 13 Jun 2014)
  • CF29 Significant management (14 Oct 2010 to 29 Mar 2012)
• STEWART ROSS SPENCER

  IRN SRS01157

  • [FCA CF] Manager of certification employee (since 15 Dec 2020)
  • [FCA CF] Client dealing (since 15 Dec 2020)
  • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
• Sadhana Jadav

  IRN SXJ00172

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Dec 2024)
• Samantha Wren

  IRN SXW01916

  • CF1 Director (30 Nov 2012 to 15 Aug 2017)

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

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

No changes recorded yet.