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.

• Peter Townsend

  IRN PXT00334

  • [FCA CF] Material risk taker (since 2 Sep 2024)
• Philip Price

  IRN PIP01006

  • [FCA CF] Manager of certification employee (since 6 Dec 2024)
• Raakhee Jagwani

  IRN RXJ00130

  • [FCA CF] Material risk taker (31 Mar 2021 to 30 Mar 2023)
• Richard Cordeschi

  IRN RXC00334

  • [FCA CF] Material risk taker (31 Mar 2021 to 1 Apr 2022)
• Richard Elmitt

  IRN RME01052

  • [FCA CF] Material risk taker (31 Mar 2021 to 31 Mar 2024)
  • [FCA CF] Significant management (31 Mar 2021 to 31 Mar 2024)
• Robin Navnit Shah

  IRN RXS00591

  • [FCA CF] Significant management (since 3 May 2024)
• Robin Simon Graham Oliver

  IRN RSO01007

  • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
  • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
• Rosemary Gormley

  IRN RXG00205

  • [FCA CF] Material risk taker (31 Mar 2021 to 31 Dec 2022)
• Samantha Wren

  IRN SXW01916

  • CF1 Director (17 Aug 2012 to 9 May 2013)
• Samuel Bevin

  IRN SXB02711

  • CF11 Money Laundering Reporting (29 Jan 2013 to 21 Feb 2014)

No changes recorded yet.