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

  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.

• Peter Tyrel Geikie-Cobb

  IRN PTG01024

  • CF30 Customer (1 Nov 2007 to 1 Jul 2014)
  • CF4 Partner (18 Mar 2005 to 1 Jul 2014)
  • CF27 Investment Management (18 Mar 2005 to 31 Oct 2007)
• Philip Fielding

  IRN PXL01461

  • CF30 Customer (16 Jul 2015 to 23 Nov 2016)
• Philip John Doel

  IRN PJD01095

  • CF30 Customer (28 Jul 2015 to 18 Jun 2019)
• ROSALIND JANE SMYTH

  IRN RJS01466

  • CF29 Significant management (13 Jul 2011 to 4 Mar 2016)
• Rajiv Rai Silgardo

  IRN RRS01049

  • CF29 Significant management (23 May 2014 to 30 Jun 2016)
• Raymond Lahaut

  IRN RXL01390

  • CF4 Partner (20 Sep 2011 to 31 May 2014)
  • CF30 Customer (1 Jan 2011 to 29 Jan 2014)
• Richard Adrian Watts

  IRN RAW01094

  • SMF27 Partner (8 Feb 2022 to 8 Mar 2024)
  • [FCA CF] Material risk taker (1 Jun 2021 to 30 Sep 2024)
  • CF29 Significant management (12 Jun 2013 to 1 Oct 2019)
• Richard Bradley Vincent

  IRN RBV01004

  • [FCA CF] Material risk taker (since 28 Oct 2022)
  • [FCA CF] Significant management (since 21 Oct 2022)
  • [FCA CF] Manager of certification employee (since 21 Oct 2022)
• Richard Charles Wilson

  IRN RCW01059

  • CF29 Significant management (29 Jun 2012 to 23 May 2019)
  • CF1 Director (2 Sep 2010 to 6 Jun 2012)
• Richard James Stewart

  IRN RXS25242

  • SMF27 Partner (25 Mar 2020 to 8 Nov 2021)

No changes recorded yet.