TRADITION LONDON CLEARING LIMITED

Date authorised
1 April 2013
Companies House
03633863
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Stockbroking

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alastair James Moffatt

    IRN AJM01663

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • Angus John Drennan Wink

    IRN AJW01252

    • SMF3 Executive Director (10 Jun 2020 to 19 Sep 2023)
  • Anthony Kenneth Adams

    IRN AKA01008

    • CF26 Customer Trading (1 Apr 2003 to 31 Dec 2004)
    • CF21 Investment Adviser (1 Apr 2003 to 31 Dec 2004)
  • Barry Graeme Wainwright

    IRN BGW01016

    • SMF16 Compliance Oversight (since 25 Jul 2024)
  • Bruce Paul Collins

    IRN BPC01086

    • CF2 Non Executive Director (13 Aug 2008 to 26 Dec 2012)
  • Catherine Annie Bienstock

    IRN CAB01169

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2024)
    • CF2 Non Executive Director (6 Oct 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jul 2003 to 30 Nov 2005)
    • CF3 Chief Executive (10 Jul 2003 to 30 Nov 2005)
    • CF1 Director (10 Jul 2003 to 30 Nov 2005)
  • Charles Patrick McSwiggan

    IRN CPM01045

    • CF26 Customer Trading (18 Nov 2004 to 27 Jun 2006)
  • Christian Marcel Michel Baillet

    IRN CMB01229

    • SMF12 Chair of the Remuneration Committee (since 1 Apr 2021)
    • SMF13 Chair of the Nominations Committee (since 1 Apr 2021)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Mar 2021)
  • Christophe Hémon

    IRN CXH00399

    • Director of firm who is not a certification employee or a SMF manager (since 25 Nov 2024)
  • Christopher Stewart Rutt

    IRN CSR01086

    • SMF3 Executive Director (26 May 2020 to 4 Nov 2021)
    • SMF2 Chief Finance (9 Dec 2019 to 4 Nov 2021)
    • CF28 Systems and controls (30 Sep 2019 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

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