TP ICAP Broking Limited

Date authorised
1 April 2013
Companies House
02670499
Last scraped
3 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.

  • Robin Navnit Shah

    IRN RXS00591

    • (201)[FCA CF] Significant management (since 3 May 2024)
  • Roderick Gordon Taylor

    IRN RGT01046

    • (281)CF26 Customer Trading (1 Dec 2001 to 11 Apr 2002)
    • (282)CF8 Apportionment and Oversight (1 Dec 2001 to 4 Aug 2003)
    • (283)CF3 Chief Executive (1 Dec 2001 to 24 Sep 2004)
    • (284)CF1 Director (1 Dec 2001 to 24 Sep 2004)
  • Roderick Muirhead

    IRN RXM01316

    • (1317)[FCA CF] Client dealing (1 Aug 2022 to 30 Oct 2022)
  • Rodney Alan Myers

    IRN RAM01096

    • (545)CF30 Customer (22 Feb 2017 to 31 Mar 2018)
  • Roger John William Bird

    IRN RJB01212

    • (1206)[FCA CF] Client dealing (31 Mar 2020 to 31 Dec 2020)
    • (1204)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1205)CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Roger Kitson Perkin

    IRN RKP01035

    • (1412)CF2 Non Executive Director (11 Jun 2012 to 8 Dec 2019)
  • Ronnie Lovell

    IRN RXL01139

    • (764)CF30 Customer (9 Nov 2019 to 8 Dec 2019)
  • Ronnie Main

    IRN RXM02529

    • (441)[FCA CF] Client dealing (since 31 Mar 2020)
    • (765)CF30 Customer (14 Nov 2019 to 8 Dec 2019)
  • Rory Bone

    IRN RXB00382

    • (350)[FCA CF] Client dealing (since 1 Oct 2022)
  • Rory Haynes

    IRN RXH00735

    • (904)[FCA CF] Client dealing (23 Feb 2024 to 5 Jan 2026)
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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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