TP ICAP Broking Limited

Date authorised
1 April 2013
Companies House
02670499
Last scraped
3 weeks ago
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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 Eligible Counterparty, Professional

  • Investment Advice (no pensions)

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

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

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

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

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

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

  • Specialist Trading Venue

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

    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.

  • Paul Denis Chapman

    IRN PDC01067

    • (250)CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2005)
  • Paul Dominic Francis

    IRN PDF01022

    • (130)CF16 Significant Mgt (Desgntd Investment Business) (6 Sep 2004 to 30 Nov 2005)
    • (129)CF26 Customer Trading (1 Dec 2001 to 30 Nov 2005)
  • Paul Edward Yarwood

    IRN PEY01003

    • (702)CF30 Customer (1 Nov 2007 to 9 Oct 2008)
    • (703)CF26 Customer Trading (16 Oct 2007 to 31 Oct 2007)
  • Paul Elliott Day

    IRN PED01023

    • (638)CF21 Investment Adviser (19 Jun 2006 to 16 Mar 2007)
  • Paul Geoffrey Atkins

    IRN PGA01031

    • (44)CF26 Customer Trading (17 Feb 2003 to 13 Oct 2003)
  • Paul George White

    IRN PGW01058

    • (509)CF26 Customer Trading (1 Dec 2001 to 1 Dec 2004)
  • Paul Gutteridge

    IRN PIG01001

    • (306)[FCA CF] Client dealing (since 1 Oct 2022)
    • (678)CF26 Customer Trading (1 Dec 2001 to 17 Jan 2007)
  • Paul James Ashley

    IRN PJA01150

    • (200)CF10a CASS Oversight function (19 Aug 2015 to 31 Oct 2019)
    • (199)CF28 Systems and controls (5 Feb 2015 to 31 Oct 2019)
    • (201)CF1 Director (5 Feb 2015 to 31 Oct 2019)
  • Paul James Chappell

    IRN PJC01424

    • (825)CF30 Customer (15 Mar 2018 to 8 Dec 2019)
  • Paul James McQuillan

    IRN PJM01487

    • (38)CF28 Systems and controls (18 May 2012 to 8 Dec 2019)
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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: (627)SMF3 Executive Director

  2. controlled function added: (626)[FCA CF] Client dealing

  3. controlled function added: (625)SMF12 Chair of the Remuneration Committee

  4. controlled function added: (624)SMF5 Head of Internal Audit

  5. controlled function added: (623)SMF10 Chair of the Risk Committee

  6. controlled function added: (622)SMF18 Other Overall Responsibility

  7. controlled function added: (621)[FCA CF] Client dealing

  8. controlled function added: (620)[FCA CF] Client dealing

  9. controlled function added: (619)[FCA CF] Manager of certification employee

  10. controlled function added: (618)[FCA CF] Material risk taker

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