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.

• Samir Alexander Saffadi

  IRN SXS01466

  • CF28 Systems and controls (21 Jun 2010 to 31 Dec 2018)
  • CF1 Director (1 Dec 2001 to 3 Aug 2011)
• Scott Fitzpatrick

  IRN SXF00576

  • Director of firm who is not a certification employee or a SMF manager (since 16 Jun 2022)
• Simon Manwaring

  IRN SXM01939

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF1 Director (3 Nov 2015 to 6 Dec 2019)
• Stephen Alan Umpelby

  IRN SXU01087

  • CF1 Director (17 Apr 2012 to 1 Feb 2019)
  • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
• Stephen Jack

  IRN SXJ01180

  • CF28 Systems and controls (20 Apr 2010 to 24 Aug 2010)
• Stephen Robert Whiteford

  IRN SRW01133

  • [FCA CF] Client dealing (since 15 Dec 2020)
  • [FCA CF] Manager of certification employee (since 15 Dec 2020)
  • CF30 Customer (14 Oct 2016 to 8 Dec 2019)
• Steven Marc Reiter

  IRN SMR01104

  • CF1 Director (27 Oct 2004 to 15 Feb 2007)
• Stuart Yorke

  IRN SBY01001

  • CF30 Customer (23 Aug 2017 to 30 Sep 2017)
• THOMAS COLIN NEWMAN

  IRN TCN00011

  • [FCA CF] Client dealing (since 17 Dec 2020)
  • CF30 Customer (29 Aug 2017 to 8 Dec 2019)
• THOMAS WRIGHT BOYD

  IRN TWB01070

  • [FCA CF] Client dealing (since 20 Jan 2021)
  • CF30 Customer (17 Jul 2017 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.