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.

• Stuart Charles Guy Tully

  IRN SCT01083

  • CF1 Director (17 Apr 2013 to 31 Dec 2017)
• Stuart Michael Jones

  IRN SMJ01068

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Client dealing (since 7 Jan 2021)
  • [FCA CF] Manager of certification employee (since 7 Jan 2021)
  • CF30 Customer (4 Oct 2010 to 8 Dec 2019)
• Susannah Rose Baughan

  IRN SRB01199

  • [FCA CF] Client dealing (28 Oct 2021 to 2 Nov 2021)
  • CF30 Customer (25 Feb 2015 to 8 Dec 2019)
• Suzanne Wei Lu Chew

  IRN SWC01054

  • CF30 Customer (1 Nov 2007 to 14 May 2010)
  • CF26 Customer Trading (29 Jan 2007 to 31 Oct 2007)
• Taine Cheyenne Randell

  IRN XTR01000

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF26 Customer Trading (31 Oct 2006 to 31 Oct 2007)
• Tavish Philip Struthers

  IRN TXS04112

  • [FCA CF] Client dealing (since 17 Mar 2025)
• Tawanda David Pari

  IRN TDP01026

  • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
• Thierry Jean Philippe Sciard

  IRN TJS00067

  • SMF9 Chair of the Governing Body (since 5 Dec 2023)
  • SMF10 Chair of the Risk Committee (5 Dec 2023 to 16 Apr 2024)
  • SMF11 Chair of the Audit Committee (5 Dec 2023 to 16 Apr 2024)
• Thomas Adrian Diran Sartain

  IRN TAS01087

  • CF30 Customer (11 Nov 2008 to 1 May 2010)
• Thomas Bernard Warwick

  IRN TBW01008

  • [FCA CF] Client dealing (17 Dec 2020 to 31 Mar 2023)
  • CF30 Customer (12 Aug 2013 to 8 Dec 2019)

No changes recorded yet.