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.

• Andrew James Sanders

  IRN AJS01273

  • CF21 Investment Adviser (16 Oct 2002 to 30 Nov 2005)
• Andrew John Brickman

  IRN AJB01624

  • CF30 Customer (15 Dec 2011 to 7 Jun 2012)
• Andrew John Clark

  IRN AJC01239

  • CF30 Customer (1 Nov 2007 to 11 Nov 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Andrew John Lewis

  IRN AJL01092

  • CF21 Investment Adviser (19 Nov 2003 to 30 Nov 2005)
• Andrew Joseph Hall

  IRN AJH01694

  • [FCA CF] Client dealing (since 5 Apr 2024)
• Andrew Keith Hutt

  IRN AKH01076

  • [FCA CF] Material risk taker (10 Mar 2021 to 16 Jul 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Jul 2021)
  • CF10 Compliance Oversight (29 Mar 2018 to 8 Dec 2019)
• Andrew Lowe

  IRN ARL01032

  • [FCA CF] Client dealing (since 1 Aug 2022)
  • CF29 Significant management (1 Nov 2007 to 31 Mar 2008)
  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (9 Aug 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (26 Aug 2003 to 9 Aug 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Andrew Lunt

  IRN ARL01037

  • [FCA CF] Client dealing (1 Aug 2022 to 30 Sep 2025)
  • [FCA CF] Manager of certification employee (1 Aug 2020 to 1 Apr 2021)
• Andrew Mark Herriot

  IRN AMH01142

  • CF21 Investment Adviser (12 Nov 2002 to 19 Jun 2005)
  • CF26 Customer Trading (26 Apr 2002 to 28 Oct 2002)
• Andrew Martin Baddeley

  IRN AMB01241

  • CF28 Systems and controls (18 Jul 2016 to 31 Dec 2017)
  • CF1 Director (18 Jul 2016 to 31 Dec 2017)

• 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.