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

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  • · 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)

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  • · 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.

• Carla Dawn Grundy

  IRN CDG01057

  • [FCA CF] Significant management (since 28 Sep 2023)
• Christian Sebastien Jean Marie Rozes

  IRN CSR01040

  • SMF3 Executive Director (since 8 Dec 2022)
  • SMF1 Chief Executive (since 8 Dec 2022)
  • [FCA CF] Material risk taker (8 Dec 2022 to 3 Jul 2023)
• Christopher Robinson

  IRN CJR01161

  • [FCA CF] Client dealing (1 Aug 2024 to 2 Aug 2024)
• Colin Francis Smith

  IRN CFS01020

  • CF29 Significant management (1 Feb 2013 to 5 Jun 2014)
• Daniel Wray

  IRN DXW35901

  • [FCA CF] Material risk taker (31 Mar 2021 to 31 Mar 2024)
• Daniel Zazzara

  IRN DXZ01020

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (18 May 2005 to 31 Oct 2007)
• Darran MacNaughtan

  IRN DXM02239

  • CF30 Customer (12 Aug 2013 to 8 Dec 2019)
• David Anthony Casterton

  IRN DAC01132

  • CF1 Director (7 Jul 2008 to 26 Jun 2013)
  • CF3 Chief Executive (7 Jul 2008 to 31 Dec 2018)
• David GOODCHILD

  IRN DMG01153

  • [FCA CF] Material risk taker (10 Mar 2021 to 26 Jan 2024)
  • CF28 Systems and controls (16 Oct 2017 to 24 Nov 2019)
  • CF10 Compliance Oversight (12 Jun 2017 to 29 Mar 2018)
• David John Baskerville

  IRN DXB01442

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 10 Jun 2003)

No changes recorded yet.