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

  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

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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.

• Amy Yun-Jie Xie

  IRN AYX01000

  • CF30 Customer (1 Nov 2007 to 13 Jul 2016)
  • CF27 Investment Management (26 Sep 2007 to 31 Oct 2007)
• Anders Christian Roos

  IRN CAR01115

  • CF30 Customer (1 Nov 2007 to 5 Jan 2011)
  • CF27 Investment Management (23 Oct 2007 to 31 Oct 2007)
• Andrew Jonathan Brown

  IRN AJB00057

  • CF2 Non Executive Director (4 Nov 2009 to 28 Feb 2014)
• Andrew Michael Anthony Smith

  IRN AMS01108

  • CF11 Money Laundering Reporting (9 Feb 2012 to 28 Nov 2014)
• Andrew William Annan Olding

  IRN AWO01013

  • CF4 Partner (10 Oct 2012 to 15 Jul 2015)
  • CF29 Significant management (13 Jul 2011 to 15 Jul 2015)
• Angela Ghouse

  IRN AXG00290

  • [FCA CF] Significant management (since 8 Nov 2021)
• BRYAN Oliver

  IRN BXO01121

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Nov 2021)
  • CF11 Money Laundering Reporting (12 Nov 2014 to 8 Dec 2019)
• Barry Mcinerney

  IRN BSM01037

  • CF29 Significant management (29 May 2014 to 6 May 2016)
• Barry Merritt Cooper

  IRN BMC01047

  • CF29 Significant management (23 May 2014 to 26 Jun 2019)
• Benjamin Apfel

  IRN BXA01386

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)

No changes recorded yet.