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.

• David Graham Moss

  IRN DGM01069

  • CF30 Customer (25 Nov 2010 to 5 Apr 2011)
• David John Verey

  IRN DJV01026

  • CF2 Non Executive Director (30 Nov 2009 to 1 Sep 2010)
• David Jonathan Sloper

  IRN DJS01226

  • CF29 Significant management (1 Jul 2015 to 8 Dec 2019)
• David Logan

  IRN DXL01387

  • SMF27 Partner (25 Jan 2022 to 8 Mar 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 18 Sep 2021)
  • CF4 Partner (12 Oct 2015 to 26 Apr 2019)
  • CF28 Systems and controls (14 Aug 2013 to 5 May 2015)
  • CF10 Compliance Oversight (1 Jan 2013 to 17 Jun 2013)
  • CF29 Significant management (24 Sep 2010 to 12 Oct 2015)
• Dean Kushin

  IRN DXK01398

  • CF30 Customer (24 May 2010 to 31 Aug 2010)
• Derham Charles O'Neill

  IRN OXD01076

  • CF2 Non Executive Director (6 Jun 2011 to 16 May 2014)
• Diarmuid O'Donovan

  IRN DXO01302

  • [FCA CF] Manager of certification employee (since 24 Feb 2025)
  • [FCA CF] Material risk taker (since 17 Oct 2023)
• Edward David South Morse

  IRN EDM01015

  • CF29 Significant management (19 Jul 2011 to 2 Nov 2012)
  • CF30 Customer (1 Nov 2007 to 14 Feb 2012)
  • CF4 Partner (21 Dec 2006 to 26 Feb 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (18 Mar 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Mar 2005 to 31 Oct 2007)
• Edward John Michael Bramson

  IRN EJB01123

  • CF29 Significant management (7 Nov 2011 to 22 Aug 2013)
  • CF2 Non Executive Director (27 Apr 2011 to 14 Oct 2011)
• Elliot James Bennett

  IRN EJB01073

  • [FCA CF] Material risk taker (since 11 Jul 2022)
  • [FCA CF] Manager of certification employee (since 11 Jul 2022)
  • [FCA CF] Significant management (since 11 Jul 2022)

No changes recorded yet.