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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Michiel Emanuel de Bruin

  IRN MED01083

  • CF30 Customer (13 Jun 2014 to 8 May 2018)
• Neil Alistair Duncan

  IRN NXD12052

  • [FCA CF] Material risk taker (since 1 Nov 2023)
  • [FCA CF] Manager of certification employee (since 1 Nov 2023)
  • [FCA CF] Significant management (since 1 Nov 2023)
• Neil Babbage

  IRN NXB21018

  • [FCA CF] Material risk taker (since 27 Jul 2023)
  • [FCA CF] Significant management (since 27 Jul 2023)
  • [FCA CF] Manager of certification employee (27 Jul 2023 to 24 Jun 2025)
• Nicholas John Ring

  IRN NJR01045

  • SMF27 Partner (8 Jul 2022 to 29 Nov 2023)
• Nicholas Matthew Barnes

  IRN NMB01026

  • CF27 Investment Management (18 Mar 2005 to 1 Jan 2007)
  • CF4 Partner (18 Mar 2005 to 1 Jan 2007)
• Nicholas Rupert MacAndrew

  IRN NRM01029

  • CF2 Non Executive Director (15 Sep 2010 to 3 Feb 2011)
• Nick Criticos

  IRN NXC01097

  • CF29 Significant management (23 Sep 2010 to 20 May 2019)
• Nicolas Günter Ziegelasch

  IRN NGZ01000

  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • CF27 Investment Management (17 Oct 2006 to 31 Oct 2007)
• Nigel David Parry

  IRN NDP01055

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Sep 2022 to 28 Apr 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2023)
  • CF10 Compliance Oversight (17 Jun 2013 to 8 Dec 2019)
• Nora O'Mahony

  IRN NAO01009

  • [FCA CF] Material risk taker (1 Jun 2021 to 30 Jun 2024)
  • [FCA CF] Manager of certification employee (1 Jun 2021 to 30 Jun 2024)
  • [FCA CF] Significant management (1 Jun 2020 to 30 Jun 2024)

No changes recorded yet.