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.

• George Gunn Bannerman MacDonald

  IRN GGM01023

  • CF1 Director (1 Dec 2001 to 18 Jun 2008)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 18 Jun 2008)
• Gerard William Harvey

  IRN GWH01067

  • CF10 Compliance Oversight (22 Feb 2011 to 11 Jul 2013)
• Giles Martin

  IRN GHM01047

  • [FCA CF] Material risk taker (31 Mar 2021 to 30 Mar 2024)
• Jack Scard-Morgan

  IRN JXS02824

  • CF1 Director (5 Sep 2013 to 24 Nov 2019)
• James Little

  IRN JPL01099

  • CF30 Customer (25 Oct 2016 to 8 Dec 2019)
• James Neilson Pettigrew

  IRN JNP01022

  • CF1 Director (1 Dec 2001 to 5 Jun 2006)
• Jason Miller

  IRN JXM01532

  • CF26 Customer Trading (1 Dec 2001 to 31 Mar 2005)
• Joanna Mary Meager

  IRN JMM01281

  • Director of firm who is not a certification employee or a SMF manager (since 1 Nov 2023)
• John Mark Yallop

  IRN JMY01007

  • CF28 Systems and controls (1 Nov 2007 to 9 Nov 2011)
  • CF14 Risk Assessment (21 Feb 2007 to 31 Oct 2007)
  • CF1 Director (1 Aug 2005 to 30 Jan 2007)
• John Phimister Sievwright

  IRN JPS01230

  • CF2 Non Executive Director (23 Sep 2010 to 4 Nov 2011)

No changes recorded yet.