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.

• John William Webster

  IRN JWW01065

  • CF30 Customer (1 Nov 2007 to 31 Mar 2017)
  • CF21 Investment Adviser (20 Jan 2004 to 31 Oct 2007)
• Jorn-Timo Asling

  IRN TXA01116

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Aug 2005 to 31 Oct 2007)
• Joseph Nicholas Dervish

  IRN JXD02456

  • CF10 Compliance Oversight (15 Aug 2016 to 13 Jun 2017)
• Julie Ann Jack

  IRN JAJ01105

  • SMF17 Money Laundering Reporting Officer (MLRO) (29 Mar 2023 to 1 Apr 2026)
  • [FCA CF] Material risk taker (29 Mar 2023 to 3 Jul 2023)
  • CF11 Money Laundering Reporting (9 Dec 2015 to 8 Dec 2019)
• Lance Fisher

  IRN LXF01081

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 31 Jul 2004)
• Lucy Mayhew

  IRN LXM01553

  • [FCA CF] Significant management (31 Mar 2021 to 1 Jan 2025)
• Luke Pledger

  IRN LXP01087

  • CF30 Customer (1 Nov 2007 to 30 Nov 2017)
  • CF1 Director (7 May 2004 to 7 Sep 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Marius Radu Floca

  IRN MXF36042

  • SMF16 Compliance Oversight (since 8 Dec 2021)
  • [FCA CF] Material risk taker (31 Oct 2021 to 31 Dec 2024)
• Mark Pointer

  IRN MXP71152

  • [FCA CF] Material risk taker (since 10 Mar 2021)
• Martin Lynch

  IRN MXL01644

  • SMF3 Executive Director (28 Sep 2020 to 20 Nov 2020)

No changes recorded yet.