THAMES RIVER CAPITAL LLP

• Principal Place of Business

  Cannon Place

  78 Cannon Street

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

  Web

  https://www.columbiathreadneedle.com

• Complaints Contact

  Cannon Place

  78 Cannon Street

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• Authorised to Operate

  For Eligible Counterparty, Professional

  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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• Martin Edward Taylor

  IRN MET01022

  • CF4 Partner (18 Mar 2005 to 1 Jan 2007)
  • CF27 Investment Management (18 Mar 2005 to 1 Jan 2007)
• Matthew Sethard-Wright

  IRN MGS01037

  • CF29 Significant management (3 Aug 2009 to 27 Dec 2013)
  • CF30 Customer (1 Nov 2007 to 14 Feb 2012)
  • CF21 Investment Adviser (18 Mar 2005 to 31 Oct 2007)
• Mehrdad Noorani

  IRN MXN01126

  • CF30 Customer (1 Nov 2007 to 23 Dec 2011)
  • CF4 Partner (27 Mar 2007 to 3 May 2012)
  • CF27 Investment Management (22 Aug 2006 to 31 Oct 2007)
• Michael David Sell

  IRN MDS01067

  • CF4 Partner (18 Jul 2005 to 1 Jan 2007)
  • CF27 Investment Management (18 Mar 2005 to 1 Jan 2007)
• Michael Desmond O'Toole

  IRN MXO00215

  • [FCA CF] Material risk taker (since 22 Jul 2024)
  • [FCA CF] Significant management (since 22 Jul 2024)
• Michael Norman Mabbutt

  IRN MXM01578

  • CF30 Customer (1 Nov 2007 to 14 Feb 2012)
  • CF27 Investment Management (18 Mar 2005 to 31 Oct 2007)
  • CF4 Partner (18 Mar 2005 to 31 Dec 2012)
• Michael Sturrock Warren

  IRN MSW01059

  • CF30 Customer (1 Nov 2007 to 28 Sep 2012)
  • CF21 Investment Adviser (3 Sep 2007 to 31 Oct 2007)
  • CF4 Partner (3 Sep 2007 to 28 Sep 2012)
• Michael Thomas Fisher

  IRN MTF01027

  • [FCA CF] Significant management (since 22 Dec 2022)
• Michael Vincent Huw Llewellyn

  IRN MVL01009

  • CF30 Customer (1 Nov 2007 to 1 Oct 2008)
  • CF27 Investment Management (18 Mar 2005 to 31 Oct 2007)
  • CF4 Partner (18 Mar 2005 to 1 Oct 2008)
• Michaela Caroline Jackson

  IRN MCC01115

  • [FCA CF] Manager of certification employee (since 22 Jul 2024)
  • SMF27 Partner (8 Jul 2022 to 8 Mar 2024)

No changes recorded yet.