TP ICAP Broking Limited

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

  • Stephen Rickerd

    IRN SXR01208

    • (373)CF26 Customer Trading (1 Dec 2001 to 30 Sep 2004)
  • Stephen Roger Corker

    IRN SRC01073

    • (1377)CF28 Systems and controls (1 Nov 2007 to 11 Jan 2008)
    • (1379)CF1 Director (27 Aug 2003 to 11 Jan 2008)
    • (1378)CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Stephen Waddell

    IRN SXW01478

    • (450)[FCA CF] Client dealing (since 31 Mar 2020)
    • (628)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (629)CF26 Customer Trading (8 May 2003 to 31 Oct 2007)
  • Stephen Young

    IRN SXY00050

    • (274)[FCA CF] Client dealing (since 1 Oct 2022)
  • Steve Bright

    IRN SLB01104

    • (614)CF1 Director (12 Mar 2007 to 21 Sep 2009)
  • Steve Broughton

    IRN SLB01073

    • (623)CF26 Customer Trading (1 Dec 2001 to 28 Mar 2003)
  • Steven Bailey

    IRN SXB00536

    • (961)[FCA CF] Client dealing (31 Mar 2021 to 31 Oct 2022)
  • Steven Edward Whitfield

    IRN SEW01046

    • (689)CF26 Customer Trading (1 Dec 2001 to 7 Feb 2002)
  • Steven George Larkins

    IRN SGL01014

    • (113)CF21 Investment Adviser (23 Jan 2002 to 25 Oct 2002)
  • Steven Horkulak

    IRN SXH01375

    • (594)CF1 Director (26 Nov 2004 to 28 Feb 2010)
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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: (497)[FCA CF] Client dealing

  2. controlled function added: (496)[FCA CF] Client dealing

  3. controlled function added: (495)[FCA CF] Client dealing

  4. controlled function added: (494)[FCA CF] Client dealing

  5. controlled function added: (493)[FCA CF] Client dealing

  6. controlled function added: (492)[FCA CF] Manager of certification employee

  7. controlled function added: (491)[FCA CF] Material risk taker

  8. controlled function added: (490)[FCA CF] Client dealing

  9. controlled function added: (489)[FCA CF] Client dealing

  10. controlled function added: (488)[FCA CF] Client dealing

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