TP ICAP Broking Limited

• Principal Place of Business

  TP ICAP, 135 Bishopsgate,

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402072007000

  Web

  https://tpicap.com/tpicap/

• Complaints Contact

  135 Bishopsgate

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +442072007000

• 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, Spread Bet, 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 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, Spread Bet, 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, Spread Bet, 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 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, Spread Bet, Warrant

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.
  • · 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, Spread Bet, 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.

• Trading Platform

  For Eligible Counterparty, Professional, 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 (Security)

• Specialist Trading Venue

  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), Rolling spot forex contract, Spread Bet, Warrant

  Show 3 limitations 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.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• AMGAD FAROUK MONTASER-RAGAB

  IRN AFM01091

  • CF30 Customer (13 Jan 2015 to 24 Jun 2018)
• ANDREA MACCHI

  IRN AXM02995

  • CF30 Customer (24 Mar 2011 to 13 Jun 2011)
• ANTHONY DAVID WALKER

  IRN ADW01175

  • [FCA CF] Client dealing (1 Aug 2022 to 28 Feb 2026)
• Aaron Stuart Powell

  IRN ASP01045

  • CF26 Customer Trading (10 Feb 2003 to 9 May 2003)
• Adam Charles Gadsby Roberts

  IRN ACR01114

  • [FCA CF] Manager of certification employee (since 17 Jul 2024)
  • [FCA CF] Client dealing (since 26 Jun 2024)
  • SMF18 Other Overall Responsibility (10 Nov 2022 to 7 Mar 2023)
  • [FCA CF] Material risk taker (10 Nov 2022 to 7 Mar 2023)
• Adam Clayton Heathcote

  IRN ACH01067

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 21 Sep 2009)
  • CF16 Significant Mgt (Desgntd Investment Business) (9 Aug 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (26 Aug 2003 to 9 Aug 2004)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Adam Gibbs

  IRN AXG00321

  • [FCA CF] Manager of certification employee (since 1 Oct 2022)
  • [FCA CF] Client dealing (since 1 Oct 2022)
• Adam Gunnar Brinkley-Svanberg

  IRN AGB01155

  • CF30 Customer (17 Mar 2010 to 7 Nov 2011)
• Adam Hasan

  IRN AXH00410

  • [FCA CF] Client dealing (since 22 Apr 2023)
  • [FCA CF] Material risk taker (since 1 Jan 2023)
  • [FCA CF] Manager of certification employee (since 1 Dec 2022)
  • [FCA CF] Client dealing (31 Mar 2020 to 10 Mar 2023)
• Adam Heathcote

  IRN AXH00411

  • [FCA CF] Manager of certification employee (31 Mar 2020 to 31 Dec 2020)
  • [FCA CF] Client dealing (31 Mar 2020 to 31 Dec 2020)

• CLEARCOMPRESS LIMITED (no longer appointed)

  FRN 839516 · Appointed 4 Apr 2019 · Until 30 Oct 2020

• COEX Partners Limited (no longer appointed)

  FRN 749171 · Appointed 6 Jun 2016 · Until 30 Oct 2020

• tpSYNREX LTD (no longer appointed)

  FRN 730375 · Appointed 29 Dec 2015 · Until 9 Dec 2020 · Tied agent

No changes recorded yet.