TP ICAP Broking Limited

Date authorised
1 April 2013
Companies House
02670499
Last scraped
4 days ago

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Eligible Counterparty

  • Investment Advice (no pensions)

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)

    Show 2 limitations
    • · 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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Professional, Eligible Counterparty, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract)

  • Specialist Trading Venue

    For Professional, Eligible Counterparty, Rolling spot forex contract, Spread Bet, Commodity Future, Government and public security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Commodity option and option on commodity future, Option (excluding a commodity option and an option on a commodity future), Certificates representing certain security, Warrant, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet)

    Show 3 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Samit Atul Patel

    IRN SXP00365

    • (1060)[FCA CF] Manager of certification employee (21 May 2020 to 2 Oct 2020)
    • (1059)[FCA CF] Client dealing (21 May 2020 to 2 Oct 2020)
  • Samuel Brown

    IRN SDB01161

    • (544)[FCA CF] Client dealing (since 1 Aug 2022)
  • Samuel Charles Ross

    IRN SCR01107

    • (824)CF30 Customer (4 May 2018 to 8 Dec 2019)
  • Samuel John Ruiz

    IRN SJR01135

    • (830)CF30 Customer (22 Jan 2018 to 28 Feb 2019)
    • (831)CF29 Significant management (30 Nov 2016 to 28 Feb 2019)
  • Samuel Kerr

    IRN SXK00573

    • (960)[FCA CF] Client dealing (31 Mar 2021 to 31 Jul 2024)
  • Samuel Leighton

    IRN SML01131

    • (1259)[FCA CF] Client dealing (1 Aug 2022 to 2 Jun 2025)
  • Samuel Leonard Bennett

    IRN SLB01056

    • (330)CF26 Customer Trading (1 Dec 2001 to 29 Mar 2002)
  • Samuel O'vens

    IRN SXT01783

    • (1258)[FCA CF] Client dealing (1 Aug 2022 to 6 Jan 2025)
  • Samuel Vizard

    IRN SXV00062

    • (310)[FCA CF] Client dealing (since 1 Oct 2022)
  • Samuel Wilson

    IRN SXW00914

    • (882)[FCA CF] Client dealing (15 Jul 2024 to 28 Sep 2025)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (527)[FCA CF] Client dealing

  2. controlled function added: (526)[FCA CF] Client dealing

  3. controlled function added: (525)[FCA CF] Client dealing

  4. controlled function added: (524)[FCA CF] Client dealing

  5. controlled function added: (523)[FCA CF] Client dealing

  6. controlled function added: (522)[FCA CF] Manager of certification employee

  7. controlled function added: (521)[FCA CF] Client dealing

  8. controlled function added: (520)[FCA CF] Client dealing

  9. controlled function added: (519)[FCA CF] Manager of certification employee

  10. controlled function added: (518)[FCA CF] Client dealing

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