TRAMONTANA ASSET MANAGEMENT LIMITED

• Principal Place of Business

  One Canada Square

  Canary Wharf

  London

  E14 5AA

  ENGLAND

  Phone

  +442037737152

  Web

  https://www.tramontana.co.uk

• Complaints Contact

  One Canada Square

  Canary Wharf

  London

  E14 5AA

  ENGLAND

  Phone

  +442037737152

• 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, 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, 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, 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.

• Stockbroking

  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, 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, 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, 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.

• Manages Your Portfolio

  For 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, 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

  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.

• Andrew Nicholas Michael Hall

  IRN AXH00529

  • Director of firm who is not a certification employee or a SMF manager (21 Jun 2021 to 29 Nov 2023)
• Bharath Kumar Manium

  IRN BKM01014

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (15 Jun 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Jun 2015 to 8 Dec 2019)
• Daniele Piccitto

  IRN DXP01759

  • [FCA CF] Client dealing (since 1 Feb 2022)
• Hassan Houari

  IRN HXH01092

  • CF30 Customer (25 Sep 2015 to 8 Dec 2019)
• Hengzhi Zou

  IRN HXZ01044

  • CF30 Customer (24 Jun 2015 to 14 Mar 2017)
• James Peter Baxter

  IRN JXB00660

  • [FCA CF] Significant management (since 13 Jan 2025)
• Oliver Buxton

  IRN OXB00119

  • [FCA CF] Significant management (1 Feb 2023 to 21 Jun 2024)
• Paul David Jackman

  IRN PDJ01023

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 Jun 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (15 Jun 2015 to 8 Dec 2019)
• Ramanan Loganathan

  IRN RXL14695

  • [FCA CF] Client dealing (since 9 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2022)
  • CF30 Customer (8 May 2019 to 8 Dec 2019)
• Robert Jan Kroese

  IRN RJK01056

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 May 2019 to 8 Dec 2019)

No changes recorded yet.