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.

• Sam Alexander Philip Needham

  IRN SAN01071

  • [FCA CF] Client dealing (2 Mar 2021 to 25 Aug 2021)
  • CF30 Customer (3 Sep 2015 to 8 Dec 2019)
• Samir Alexander Saffadi

  IRN SXS01466

  • CF28 Systems and controls (21 Jun 2010 to 31 Dec 2018)
  • CF3 Chief Executive (1 Dec 2001 to 24 Feb 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 18 Jan 2008)
• Sandrine Zhang

  IRN SXZ01057

  • CF26 Customer Trading (25 Jul 2007 to 19 Oct 2007)
• Sarah Pearce

  IRN SXP01593

  • CF30 Customer (11 Sep 2012 to 30 Nov 2012)
• Sayyed Amaad Hussain

  IRN SAH01286

  • CF30 Customer (15 Apr 2014 to 14 Oct 2015)
• Scarlett Quarendon-Wheeler

  IRN SXQ00029

  • [FCA CF] Client dealing (1 Sep 2021 to 31 Jan 2022)
• Sebastian Phil France

  IRN SPF01058

  • CF30 Customer (16 Nov 2007 to 22 Feb 2011)
• Serkan Bayraktar

  IRN SXB02125

  • CF30 Customer (18 Sep 2012 to 30 Sep 2018)
• Shannon Tham

  IRN SXT01602

  • CF30 Customer (4 May 2010 to 7 Jun 2017)
• Shaul Zaidman

  IRN SXZ01076

  • CF30 Customer (2 Feb 2010 to 30 Nov 2011)

No changes recorded yet.