TP ICAP Broking Limited

• 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

• 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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 Hide 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.

• Arran Squires

  IRN AXS00601

  • [FCA CF] Client dealing (since 1 Aug 2022)
• Arthur D'Arcy

  IRN AXD01278

  • CF29 Significant management (1 Feb 2017 to 31 Dec 2017)
• Arthur Mesher

  IRN AXM00647

  • [FCA CF] Client dealing (1 Oct 2022 to 31 Dec 2022)
  • [FCA CF] Manager of certification employee (1 Oct 2022 to 31 Dec 2022)
• Artur Vardanian

  IRN AXV00178

  • [FCA CF] Client dealing (11 Dec 2024 to 5 Nov 2025)
• Arun Jandu

  IRN AXJ00174

  • [FCA CF] Client dealing (since 1 Oct 2022)
• Arwinder Singh

  IRN AXS02419

  • CF30 Customer (7 Apr 2010 to 7 Nov 2011)
• Ascanio Giandinoto

  IRN AXG02047

  • [FCA CF] Client dealing (1 Aug 2022 to 30 Sep 2025)
• Ashley Garner Clarke

  IRN AGC01138

  • [FCA CF] Client dealing (31 Mar 2020 to 28 Feb 2021)
  • CF30 Customer (22 Dec 2011 to 8 Dec 2019)
• Ashley James Nugent

  IRN AJN01102

  • [FCA CF] Client dealing (since 1 Aug 2022)
  • [FCA CF] Manager of certification employee (since 1 Aug 2022)
  • [FCA CF] Material risk taker (1 Jan 2023 to 31 Dec 2023)
• Ashley TODD

  IRN ACT01101

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

• CLEARCOMPRESS LIMITED (no longer appointed)

  FRN 839516 · Appointed 4 Apr 2019 · Until 30 Oct 2020

• COEX Partners Limited (no longer appointed)

  FRN 749171 · Appointed 6 Jun 2016 · Until 30 Oct 2020

• tpSYNREX LTD (no longer appointed)

  FRN 730375 · Appointed 29 Dec 2015 · Until 9 Dec 2020 · Tied agent

No changes recorded yet.