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.

  • Simon David Lewis

    IRN SDL01035

    • (361)CF30 Customer (13 Apr 2015 to 20 Jan 2016)
  • Simon Fenton

    IRN SAF01066

    • (1306)[FCA CF] Manager of certification employee (1 Aug 2022 to 7 Jul 2025)
    • (1305)[FCA CF] Client dealing (1 Aug 2022 to 7 Jul 2025)
  • Simon Geoffrey Clark

    IRN SGC01040

    • (450)CF26 Customer Trading (1 Dec 2001 to 14 Jan 2005)
  • Simon Gouge

    IRN SSG01014

    • (176)[FCA CF] Client dealing (since 1 Aug 2022)
    • (177)[FCA CF] Manager of certification employee (since 1 Aug 2022)
  • Simon Harris

    IRN SXH01366

    • (344)CF26 Customer Trading (1 Dec 2001 to 3 Mar 2003)
  • Simon James Dooley

    IRN SJD01275

    • (593)CF30 Customer (11 Apr 2012 to 16 Apr 2013)
  • Simon James Manning

    IRN SJM01449

    • (631)CF30 Customer (1 Nov 2007 to 30 May 2017)
    • (632)CF26 Customer Trading (3 Oct 2006 to 31 Oct 2007)
  • Simon James Michael Bradley

    IRN SJB01291

    • (97)[FCA CF] Client dealing (since 4 Apr 2025)
  • Simon Jeremy Wheatley

    IRN SJW01288

    • (273)CF14 Risk Assessment (11 Jul 2002 to 14 Jan 2005)
    • (272)CF15 Internal Audit (11 Jul 2002 to 14 Jan 2005)
  • Simon John Currie

    IRN SJC01250

    • (1352)CF26 Customer Trading (1 Dec 2001 to 31 Jul 2002)
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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: (517)[FCA CF] Client dealing

  2. controlled function added: (516)[FCA CF] Client dealing

  3. controlled function added: (515)[FCA CF] Manager of certification employee

  4. controlled function added: (514)[FCA CF] Client dealing

  5. controlled function added: (513)[FCA CF] Client dealing

  6. controlled function added: (512)[FCA CF] Client dealing

  7. controlled function added: (511)[FCA CF] Client dealing

  8. controlled function added: (510)[FCA CF] Client dealing

  9. controlled function added: (509)[FCA CF] Client dealing

  10. controlled function added: (508)[FCA CF] Client dealing

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