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.

• James Perrin

  IRN JXP00437

  • [FCA CF] Manager of certification employee (since 22 Jul 2024)
  • [FCA CF] Significant management (since 22 Jul 2024)
  • [FCA CF] Material risk taker (since 22 Jul 2024)
• James William Pratt

  IRN JWP01053

  • CF30 Customer (1 Nov 2007 to 6 Oct 2008)
  • CF27 Investment Management (15 Jan 2007 to 31 Oct 2007)
• James Young

  IRN JDY01010

  • CF30 Customer (1 Nov 2007 to 14 Feb 2012)
  • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)
• Jason Robert Anderson

  IRN JRA01089

  • CF30 Customer (1 Nov 2007 to 7 Feb 2012)
  • CF21 Investment Adviser (2 Aug 2007 to 31 Oct 2007)
• Jeffery Thorwald Thomson

  IRN IXT01027

  • CF4 Partner (9 Oct 2009 to 31 Jul 2010)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2010)
  • CF27 Investment Management (18 Mar 2005 to 31 Oct 2007)
• Jeffrey Medlock

  IRN JXM02278

  • CF2 Non Executive Director (15 Sep 2010 to 10 May 2013)
• Jennifer Taylor

  IRN JXS02194

  • CF30 Customer (1 Aug 2013 to 5 Sep 2014)
• Jeremy Douglas Charles

  IRN JDC01152

  • CF28 Systems and controls (1 Nov 2007 to 31 May 2012)
  • CF4 Partner (25 Oct 2006 to 31 May 2012)
  • CF13 Finance (25 Oct 2006 to 31 Oct 2007)
• Joan Mohammed

  IRN JXM03795

  • SMF27 Partner (9 Dec 2019 to 8 Nov 2021)
  • CF4 Partner (6 Nov 2019 to 8 Dec 2019)
  • CF29 Significant management (2 Aug 2016 to 6 Nov 2019)
• Joanne Lesley Elliott

  IRN JLE01006

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 20 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (18 Mar 2005 to 31 Oct 2007)
  • CF4 Partner (18 Mar 2005 to 8 Dec 2019)

No changes recorded yet.