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.

• Richard Doughty

  IRN RXD14847

  • [FCA CF] Material risk taker (3 Jul 2023 to 31 May 2024)
  • [FCA CF] Client dealing (30 Jun 2020 to 30 Nov 2022)
  • CF30 Customer (13 May 2019 to 8 Dec 2019)
• Richard Elmitt

  IRN RME01052

  • [FCA CF] Significant management (31 Mar 2021 to 31 Mar 2024)
  • [FCA CF] Material risk taker (31 Mar 2021 to 31 Mar 2024)
  • CF29 Significant management (7 Jun 2010 to 8 Dec 2019)
• Richard Gardner-Brown

  IRN RXG00185

  • [FCA CF] Client dealing (31 Mar 2020 to 31 Oct 2021)
• Richard Hodge

  IRN RXH01571

  • [FCA CF] Material risk taker (1 Jan 2023 to 31 Dec 2023)
  • [FCA CF] Manager of certification employee (31 Mar 2020 to 7 Oct 2024)
  • [FCA CF] Client dealing (31 Mar 2020 to 31 Jul 2024)
• Richard Jacobs

  IRN RXJ00115

  • [FCA CF] Client dealing (since 10 Nov 2020)
• Richard James Hilton

  IRN RJH01426

  • [FCA CF] Client dealing (since 20 Oct 2020)
  • [FCA CF] Manager of certification employee (since 20 Oct 2020)
  • CF30 Customer (23 Mar 2010 to 8 Dec 2019)
• Richard John Bass

  IRN RJB01291

  • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)
• Richard Keith Hennah

  IRN RKH01028

  • CF26 Customer Trading (1 Dec 2001 to 22 Feb 2002)
• Richard Paul MacDonald Sandison

  IRN RPS01071

  • [FCA CF] Client dealing (8 Mar 2021 to 11 May 2022)
• Richard Philip Kilsby

  IRN RPK01035

  • CF2 Non Executive Director (10 Jan 2011 to 17 Jan 2012)

No changes recorded yet.