The Seaport Group Europe LLP

• Principal Place of Business

  The Seaport Group Europe LLP

  Charles House 5-11

  Regent Street

  London

  Westminster

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402076149100

  Web

  https://www.seaportglobal.com

• Complaints Contact

  The Seaport Group Europe LLP

  Charles House 5-11

  Regent Street

  London

  Westminster

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402076149100

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Spread Bet, 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

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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 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, Spread Bet, 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 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, Spread Bet, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Spread Bet, 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Spread Bet, 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.

• Chester Chi-To Chan

  IRN CXC00850

  • [FCA CF] Client dealing (24 Sep 2024 to 29 Nov 2024)
• Chris Sandro Lugert

  IRN CSL01035

  • CF30 Customer (28 Jan 2011 to 13 Jan 2015)
• Christelle Karine Veronique Girardie

  IRN CKG01005

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2022)
  • CF30 Customer (18 Sep 2012 to 8 Dec 2019)
• Christophe Vaes

  IRN CXV00017

  • [FCA CF] Client dealing (since 19 Jul 2024)
• Christopher Brian Spear

  IRN CBS01023

  • [FCA CF] Client dealing (since 21 Nov 2022)
• Christopher Mark Carter

  IRN CMC01222

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2021)
  • CF30 Customer (1 Oct 2015 to 8 Dec 2019)
• Conor Patrick Daly

  IRN CPD01053

  • [FCA CF] Manager of certification employee (4 May 2020 to 8 Dec 2022)
  • [FCA CF] Client dealing (2 Jan 2020 to 8 Dec 2022)
• Damian Gerard Fernandez

  IRN DGF01041

  • CF11 Money Laundering Reporting (3 Aug 2015 to 24 Dec 2015)
  • CF10 Compliance Oversight (3 Aug 2015 to 24 Dec 2015)
• Damian Robert Bowes Taylor

  IRN DRT01022

  • CF30 Customer (16 Jun 2014 to 1 May 2015)
• Daniel Fredrik Arturo Arques

  IRN DFA01028

  • CF30 Customer (7 Mar 2018 to 30 Nov 2018)

• Sea Port Group Securities (Europe) LLP (no longer appointed)

  FRN 550149 · Appointed 9 May 2011 · Until 1 Jun 2011

No changes recorded yet.