Tradition (UK) Limited

• 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, Alternative Debenture, 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, Unit, 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.

• 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, Alternative Debenture, 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, Unit, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, 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.

• Trading Platform

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Unit, 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.

• Peter Barker

  IRN PXB02590

  • [FCA CF] Client dealing (since 25 Jan 2021)
  • CF30 Customer (13 Feb 2017 to 8 Dec 2019)
• Peter Francis Winfield Weston

  IRN PFW01025

  • SMF16 Compliance Oversight (26 Jun 2020 to 31 Jul 2021)
• Peter Harry Matthews

  IRN PHM01026

  • CF30 Customer (3 Aug 2009 to 30 Jun 2011)
• Peter James Morley

  IRN PJM01521

  • [FCA CF] Client dealing (since 4 Dec 2020)
  • CF30 Customer (19 Jun 2015 to 8 Dec 2019)
• Peter Noel Buff

  IRN PNB01052

  • CF30 Customer (28 Jan 2009 to 1 Apr 2015)
• Philip Cramp

  IRN PXC01741

  • [FCA CF] Significant management (18 Jan 2021 to 17 Jan 2022)
• 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 1 Mar 2024)
• Philip Regan

  IRN PXR01485

  • CF1 Director (23 May 2008 to 19 Mar 2010)
  • CF28 Systems and controls (23 May 2008 to 19 Mar 2010)
• Piergraziano Usai

  IRN PXU01007

  • CF30 Customer (25 Feb 2015 to 30 Apr 2017)
• Pierluigi Erroi

  IRN PXE01261

  • CF30 Customer (10 Jul 2015 to 18 Jan 2017)

• Musana Securities Ltd (no longer appointed)

  FRN 221360 · Appointed 12 Dec 2002 · Until 13 Oct 2003

No changes recorded yet.