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.

  • Stefano Cappuccini

    IRN SXC00473

    • (897)[FCA CF] Client dealing (22 Jun 2023 to 1 Sep 2024)
  • Stephane Charles Mardel

    IRN SXM01898

    • (675)CF21 Investment Adviser (25 Feb 2004 to 3 Mar 2005)
    • (674)CF26 Customer Trading (21 Jan 2004 to 25 Feb 2004)
  • Stephen Andrew Bowring

    IRN SAB01178

    • (714)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (715)CF26 Customer Trading (27 Sep 2006 to 31 Oct 2007)
  • Stephen Charles Ashworth

    IRN SCA01037

    • (570)CF30 Customer (12 May 2016 to 1 Oct 2019)
  • Stephen Charles Duckworth

    IRN SCD01040

    • (329)CF1 Director (3 Feb 2017 to 5 Nov 2018)
    • (325)CF30 Customer (1 Nov 2007 to 5 Nov 2018)
    • (328)CF3 Chief Executive (26 Nov 2004 to 17 Dec 2008)
    • (327)CF8 Apportionment and Oversight (22 Oct 2002 to 19 Feb 2003)
    • (326)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Stephen Edward Mallion

    IRN SEM01064

    • (508)CF26 Customer Trading (29 Aug 2003 to 17 Jan 2007)
  • Stephen Emmerson

    IRN SCE01027

    • (820)[FCA CF] Client dealing (31 Mar 2020 to 1 May 2024)
    • (821)[FCA CF] Manager of certification employee (31 Mar 2020 to 1 May 2024)
    • (819)CF30 Customer (4 Jun 2018 to 8 Dec 2019)
  • Stephen Eric Greenall

    IRN SXG00337

    • (965)[FCA CF] Client dealing (21 Nov 2022 to 10 Mar 2023)
  • Stephen Fantom

    IRN SXF01170

    • (245)[FCA CF] Client dealing (since 15 Aug 2023)
  • Stephen Hearne

    IRN SXH00450

    • (289)[FCA CF] Client dealing (since 1 Oct 2022)
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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: (447)[FCA CF] Client dealing

  2. controlled function added: (446)[FCA CF] Client dealing

  3. controlled function added: (445)[FCA CF] Client dealing

  4. controlled function added: (444)[FCA CF] Manager of certification employee

  5. controlled function added: (443)[FCA CF] Client dealing

  6. controlled function added: (442)[FCA CF] Client dealing

  7. controlled function added: (441)[FCA CF] Client dealing

  8. controlled function added: (440)[FCA CF] Client dealing

  9. controlled function added: (439)[FCA CF] Manager of certification employee

  10. controlled function added: (438)[FCA CF] Client dealing

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