TP ICAP Broking Limited

Date authorised
1 April 2013
Companies House
02670499
Last scraped
5 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.

  • Shlomi Allsuch

    IRN SXA00293

    • (497)[FCA CF] Client dealing (since 1 Aug 2022)
  • Silas William Warren

    IRN SXW00852

    • (914)[FCA CF] Client dealing (29 Dec 2023 to 22 Mar 2024)
  • Simbarashe Patrick Gudza

    IRN SXG00664

    • (254)[FCA CF] Client dealing (since 12 May 2023)
  • Simon Andrew Neville

    IRN SAN01041

    • (463)CF28 Systems and controls (1 Nov 2007 to 30 May 2008)
    • (464)CF14 Risk Assessment (1 Feb 2005 to 31 Oct 2007)
  • Simon Andrew Rogers

    IRN SAR01077

    • (1053)[FCA CF] Material risk taker (1 Jan 2023 to 30 Nov 2023)
    • (1054)[FCA CF] Manager of certification employee (1 Oct 2022 to 30 Nov 2023)
    • (1052)[FCA CF] Client dealing (1 Oct 2022 to 30 Nov 2023)
    • (1049)CF30 Customer (1 Nov 2007 to 13 Jan 2016)
    • (1055)CF1 Director (26 Nov 2004 to 7 May 2014)
    • (1051)CF16 Significant Mgt (Desgntd Investment Business) (29 Sep 2004 to 15 May 2006)
    • (1050)CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Simon Blair Griffiths

    IRN SBG01013

    • (243)CF30 Customer (1 Nov 2007 to 30 Sep 2017)
    • (244)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Simon Bond

    IRN SXB00540

    • (262)[FCA CF] Client dealing (since 1 Aug 2022)
  • Simon Charles Reader

    IRN SCR01033

    • (76)CF26 Customer Trading (1 Dec 2001 to 1 Jun 2004)
  • Simon DE WILDE

    IRN SMD01161

    • (1275)[FCA CF] Client dealing (1 Aug 2022 to 30 Apr 2023)
  • Simon David Kelsey

    IRN SDK01021

    • (660)CF30 Customer (1 Nov 2007 to 2 Mar 2011)
    • (661)CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
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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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