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

  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.

• Glyn Parry Jones

  IRN GPJ01004

  • CF8 Apportionment and Oversight (11 Oct 2005 to 22 May 2006)
  • CF4 Partner (11 Oct 2005 to 22 May 2006)
  • CF3 Chief Executive (11 Oct 2005 to 22 May 2006)
• Gulistan Chaudhry

  IRN GAC01112

  • CF30 Customer (17 Sep 2012 to 28 Jun 2013)
  • CF4 Partner (5 Dec 2007 to 19 Oct 2012)
• Gurnek Singh Teja

  IRN GST01049

  • [FCA CF] Material risk taker (since 9 May 2024)
  • [FCA CF] Client dealing (since 9 May 2024)
• Helen Susan Pike

  IRN HSP01012

  • CF30 Customer (1 Nov 2007 to 30 Jun 2014)
  • CF26 Customer Trading (18 Mar 2005 to 31 Oct 2007)
• Henry Frederick Hugh Cobbe

  IRN HFC01009

  • CF4 Partner (18 Jul 2005 to 1 Jan 2007)
• Herve Anthony Biancotto

  IRN HXB01317

  • CF30 Customer (3 Sep 2013 to 15 Aug 2014)
• Howard Edgar Thomas

  IRN HET01008

  • CF4 Partner (20 Jul 2005 to 1 Jan 2007)
  • CF27 Investment Management (18 Mar 2005 to 1 Jan 2007)
• Hugh Cameron Moir

  IRN HXM01250

  • SMF27 Partner (9 Dec 2019 to 8 Nov 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 8 Nov 2021)
  • CF3 Chief Executive (31 Jan 2014 to 8 Dec 2019)
  • CF4 Partner (31 Jan 2014 to 8 Dec 2019)
  • CF29 Significant management (31 May 2012 to 5 May 2015)
• Hugo Oliver Raymond Rogers

  IRN HOR01001

  • CF30 Customer (17 Nov 2008 to 31 Mar 2015)
• IAN BRINDLE

  IRN IXB01289

  • CF2 Non Executive Director (24 May 2011 to 10 May 2013)

No changes recorded yet.