TRADITION FINANCIAL SERVICES LTD.

• Principal Place of Business

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

  Web

  https://www.tradition.com

• Complaints Contact

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, Warrant

  Show 2 limitations 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.
  • · Limited to advice that (1) is given in connection with a transaction in the course of which the only regulated activities carried on by the firm are regulated activities of the kind mentioned below and (2) relates to the carrying on by the firm of those activities in the course of that transaction. The activities mentioned above are arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments.

• 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, Certificates representing certain security, Commodity Future, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Donard Ferguson

  IRN DXF01499

  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)
• Edmond William Warner

  IRN EWW01005

  • CF2 Non Executive Director (1 Feb 2010 to 30 Jun 2012)
• Edmund Martin Hodge

  IRN EMH01044

  • [FCA CF] Client dealing (since 5 Feb 2023)
  • [FCA CF] Significant management (since 5 Feb 2023)
  • [FCA CF] Client dealing (23 Feb 2021 to 1 Aug 2022)
  • CF30 Customer (15 Jun 2012 to 8 Dec 2019)
• Eduardo Teixeira Saksida

  IRN ETS01024

  • CF26 Customer Trading (25 Jun 2007 to 22 Aug 2007)
• Edward Daniel Walford

  IRN EXW01231

  • [FCA CF] Client dealing (11 Nov 2020 to 31 Oct 2021)
  • CF30 Customer (2 Feb 2017 to 8 Dec 2019)
• Edward John Hutton

  IRN EJH01038

  • CF30 Customer (1 Nov 2007 to 28 Feb 2009)
  • CF26 Customer Trading (19 Jan 2007 to 31 Oct 2007)
• Edward Michael George Dennis

  IRN EMD01051

  • CF30 Customer (7 Dec 2012 to 1 Apr 2019)
• Edward Toby Stevenson

  IRN ETS01033

  • CF30 Customer (22 Feb 2018 to 8 Dec 2019)
• Elliot Earl James Swords

  IRN EXS00106

  • [FCA CF] Client dealing (4 Jan 2021 to 13 Jun 2025)
• Elliot Nicholas Pope

  IRN ENP01005

  • [FCA CF] Client dealing (since 8 Jan 2021)
  • CF30 Customer (28 Feb 2012 to 8 Dec 2019)

No changes recorded yet.