TP ICAP MTF LIMITED

• Principal Place of Business

  T P I C A P

  135 Bishopsgate

  London

  City Of London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402070005000

  Web

  https://tpicap.com/tpicap/

• Complaints Contact

  T P I C A P

  135 Bishopsgate

  London

  City Of London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4402070005000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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)

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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, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Debenture, Government and public security, Rights to or interests in investments (Security)

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Debenture, Government and public security, Rights to or interests in investments (Security)

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  • · Investment activity in "rights to or interests in investments (security)" 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.”

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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)

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trading Platform

  For Eligible Counterparty, Professional, Certificates representing certain security, 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 (Security), Rolling spot forex contract, Share, Unit

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Alan Anthony Kelly

  IRN AXK17033

  • [FCA CF] Material risk taker (10 Mar 2021 to 1 Dec 2021)
  • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2021)
  • CF1 Director (8 Oct 2019 to 8 Dec 2019)
• Alan Ashley

  IRN AXA01821

  • CF30 Customer (18 Feb 2011 to 14 Oct 2015)
• Alexander Blayney

  IRN AXB02425

  • CF30 Customer (12 May 2011 to 31 Dec 2017)
• Amir Zaidi

  IRN AXZ00044

  • [FCA CF] Manager of certification employee (31 Mar 2021 to 2 Jan 2024)
• Amit Shah

  IRN AXS01598

  • CF10 Compliance Oversight (1 Dec 2001 to 13 Aug 2004)
  • CF15 Internal Audit (1 Dec 2001 to 13 Aug 2004)
• 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)
• Anna Nicolis

  IRN AXN00134

  • [FCA CF] Material risk taker (31 Mar 2021 to 2 Jul 2021)
• Babajide Akanbi Ibikunle Bada

  IRN BAB01072

  • CF11 Money Laundering Reporting (26 Oct 2006 to 14 Sep 2007)
  • CF10 Compliance Oversight (26 Oct 2006 to 14 Sep 2007)
• Ben Raincock

  IRN BXR01107

  • CF30 Customer (1 Nov 2007 to 15 Sep 2009)
  • CF21 Investment Adviser (13 Sep 2006 to 31 Oct 2007)
• Bernadine Ann Burnell

  IRN BAB01089

  • CF28 Systems and controls (9 Jul 2018 to 24 Nov 2019)

No changes recorded yet.