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

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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.
  • · 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

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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, 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.

• Gwilym Alexander Graham Lewis

  IRN GXL07742

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • SMF1 Chief Executive (15 Jan 2025 to 14 Apr 2026)
  • SMF18 Other Overall Responsibility (16 Jul 2020 to 16 Jan 2025)
  • CF29 Significant management (19 Nov 2018 to 8 Dec 2019)
• Harry O'Farrell

  IRN HXO00049

  • [FCA CF] Client dealing (since 15 Aug 2022)
• Haydn James Vere Culverwell

  IRN HJC01075

  • [FCA CF] Client dealing (29 Jan 2021 to 20 Dec 2021)
  • CF30 Customer (16 May 2018 to 8 Dec 2019)
• Heidi Ross Forbes

  IRN HRF01010

  • CF26 Customer Trading (27 Apr 2005 to 30 Mar 2007)
• Henry James Ambrose

  IRN AXH02261

  • [FCA CF] Client dealing (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
• Henry William Anstey

  IRN HXA23208

  • [FCA CF] Client dealing (since 28 Jan 2021)
  • CF30 Customer (5 Nov 2019 to 8 Dec 2019)
• Herve Pierre Benoit de Carmoy

  IRN HPD01015

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 16 Dec 2025)
  • CF2 Non Executive Director (17 Apr 2013 to 8 Dec 2019)
• Holly Jane Bradley

  IRN HJB01078

  • [FCA CF] Client dealing (17 Aug 2021 to 30 Jun 2023)
  • CF30 Customer (21 Jan 2015 to 8 Dec 2019)
• Hugo Graham Bull

  IRN HGB01032

  • [FCA CF] Manager of certification employee (since 20 Jan 2023)
  • [FCA CF] Client dealing (since 1 Feb 2021)
• Iain Alexander Cummings

  IRN IXC00110

  • SMF10 Chair of the Risk Committee (since 14 Jun 2024)
  • SMF11 Chair of the Audit Committee (since 14 Jun 2024)

No changes recorded yet.