Tradeweb Execution Services Limited

• Principal Place of Business

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +442037493310

  Web

  https://www.tradeweb.com

• Complaints Contact

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +442037493310

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' in the FSA's Glossary of defined expressions used in the FSA's Handbook

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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 1 limitation Hide limitations

  • · 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.

• Enrico Bruni

  IRN EXB01429

  • SMF3 Executive Director (11 Feb 2021 to 9 Apr 2025)
• Ho Yeung Man

  IRN HXM00128

  • [FCA CF] Significant management (since 12 Feb 2021)
• Iain James Lyon

  IRN IXL00037

  • [FCA CF] Significant management (12 Feb 2021 to 15 Apr 2022)
• Jack Alexander Bradley

  IRN JAB01622

  • [FCA CF] Client dealing (12 Feb 2021 to 14 May 2025)
• James Adam Barratt

  IRN JXB19286

  • [FCA CF] Client dealing (since 12 Feb 2021)
• James William Dale

  IRN JWD01084

  • SMF3 Executive Director (since 6 Jun 2022)
  • [FCA CF] Material risk taker (since 31 Mar 2021)
• Jessy Susan George

  IRN JXG00268

  • [FCA CF] Significant management (12 Feb 2021 to 10 Mar 2025)
• Joerg Weber

  IRN JXW01181

  • [FCA CF] Significant management (since 16 Feb 2026)
• Lee Richardson

  IRN LXR01050

  • [FCA CF] Client dealing (since 2 Aug 2023)
• Leland Carroll Clemons JR

  IRN LXC00180

  • [FCA CF] Significant management (12 Feb 2021 to 30 Apr 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Feb 2021)

No changes recorded yet.