TP ICAP E&C Limited

• Principal Place of Business

  TP ICAP E&C Limited

  Floor 3, Verde Building

  10 Bressenden Place

  London

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402039333000

  Web

  https://tpicap.com/tpicap/

• Complaints Contact

  TP ICAP

  135 Bishopsgate

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402072007000

• 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Limited to advice that (1) is given in connection with a transaction in the course of which the only regulated activities carried on by the firm are regulated activities of the kind mentioned below and (2) relates to the carrying on by the firm of those activities in the course of that transaction. The activities mentioned above are arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments.
  • · 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), Rolling spot forex contract, Share, Spread Bet, Unit, 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), Rolling spot forex contract, Share, Spread Bet, Unit, 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), Rolling spot forex contract, Share, Spread Bet, Unit, 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), Rolling spot forex contract, Share, Spread Bet, Unit, 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 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)

• 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, Emissions Allowance, 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

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  • · 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.
  • · 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.
  • · 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.

• Jignesh Vinod Patel

  IRN JVP01023

  • [FCA CF] Client dealing (since 20 Oct 2020)
  • CF30 Customer (23 Mar 2010 to 8 Dec 2019)
• Joanna Mary Meager

  IRN JMM01281

  • SMF12 Chair of the Remuneration Committee (since 8 Oct 2024)
  • Director of firm who is not a certification employee or a SMF manager (1 Nov 2023 to 8 Oct 2024)
• Joerg Birkholz

  IRN JXB02253

  • CF1 Director (23 Dec 2011 to 30 Jun 2018)
• John Abularrage

  IRN JXA01417

  • SMF7 Group Entity Senior Manager (23 Mar 2020 to 20 Nov 2020)
• John Allender

  IRN JXA01149

  • CF30 Customer (27 Feb 2018 to 8 Dec 2019)
• John Anthony Commins

  IRN JAC01182

  • CF30 Customer (28 May 2012 to 11 Feb 2013)
• John Ardern

  IRN JXA00219

  • [FCA CF] Client dealing (3 Jul 2023 to 31 Jul 2024)
  • [FCA CF] Material risk taker (3 Jul 2023 to 31 Dec 2023)
• John Charles Ruskin

  IRN JCR01061

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 19 May 2020)
  • CF30 Customer (13 Jul 2016 to 8 Dec 2019)
  • CF29 Significant management (13 Jul 2016 to 8 Dec 2019)
• John David Langharne Goss

  IRN JDG01046

  • CF30 Customer (29 Jan 2010 to 31 Jul 2012)
• John Evans

  IRN JKE01008

  • [FCA CF] Client dealing (since 3 Jul 2023)

No changes recorded yet.