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.

  • Nicholas Batsford

    IRN NXB01135

    • CF26 Customer Trading (2 Apr 2003 to 31 Jan 2004)
    • CF21 Investment Adviser (2 Apr 2003 to 31 Jan 2004)
  • Nicholas Murray Gleeson

    IRN NMG01029

    • CF28 Systems and controls (1 Nov 2007 to 15 Mar 2008)
    • CF13 Finance (30 Mar 2007 to 31 Oct 2007)
    • CF1 Director (30 Mar 2007 to 15 Mar 2008)
  • Norbert Patrick Houet-Dutruge

    IRN NPH01034

    • CF8 Apportionment and Oversight (1 Dec 2001 to 30 Jun 2003)
    • CF3 Chief Executive (1 Dec 2001 to 30 Jun 2003)
    • CF1 Director (1 Dec 2001 to 30 Jun 2003)
  • Patrice Alain Joseph Brault

    IRN PAB01310

    • CF2 Non Executive Director (24 Aug 2015 to 2 Jul 2018)
    • CF10a CASS Oversight function (13 Jun 2013 to 8 Apr 2014)
    • CF3 Chief Executive (5 Dec 2005 to 24 Aug 2015)
    • CF1 Director (5 Dec 2005 to 24 Aug 2015)
    • CF8 Apportionment and Oversight (5 Dec 2005 to 31 Oct 2007)
  • Paul Dempsey

    IRN PXD01636

    • CF28 Systems and controls (27 May 2010 to 1 Dec 2011)
  • Peter David Morgan

    IRN PDM01064

    • CF26 Customer Trading (17 May 2004 to 17 Sep 2004)
  • Philip Llewellyn

    IRN PXL01556

    • SMF17 Money Laundering Reporting Officer (MLRO) (25 Aug 2023 to 12 Jan 2024)
    • SMF16 Compliance Oversight (24 Jun 2022 to 12 Jan 2024)
    • [FCA CF] Significant management (5 May 2021 to 31 Mar 2024)
  • Philip Regan

    IRN PXR01485

    • CF28 Systems and controls (23 May 2008 to 19 Mar 2010)
    • CF1 Director (23 May 2008 to 19 Mar 2010)
  • Richard Jonathan Appleton

    IRN RJA01070

    • CF21 Investment Adviser (13 Oct 2003 to 17 Sep 2004)
    • CF26 Customer Trading (13 Oct 2003 to 17 Sep 2004)
  • Robin Matthew Houldsworth

    IRN RMH01065

    • CF1 Director (1 Dec 2001 to 12 Dec 2007)
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Recent activity

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

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