VTB Capital plc

• Principal Place of Business

  Teneo Financial Advisory Limited

  The Carter Building

  11 Pilgrim Street

  London

  EC4V 6RN

  UNITED KINGDOM

  Phone

  +441216190120

• Complaints Contact

  Teneo Financial Advisory Limited

  The Carter Building

  11 Pilgrim Street

  London

  EC4V 6RN

  UNITED KINGDOM

  Phone

  +441216190120

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• 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, 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, 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.

• Arranges Asset Safekeeping

  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, 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.

• Insurance Admin

  For Commercial, Non-investment insurance contracts

• Carbon Auction Bidding

  For Eligible Counterparty, Professional, Emissions Auction Product

• 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, 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.

• Trades With You Directly

  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, Unit, Warrant

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  • · The investment type "unit" is limited to "eligible counterparty" and large professional clients.
  • · 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, 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.

• John Elliott Hooper

  IRN JEH01091

  • SMF10 Chair of the Risk Committee (5 Sep 2019 to 31 Mar 2022)
  • Director of firm who is not a certification employee or a SMF manager (10 Dec 2018 to 5 Sep 2019)
• John Gordon Glover

  IRN JGG01031

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 31 Dec 2004)
• Jonathan James Hayward

  IRN JJH01106

  • CF2 Non Executive Director (5 Aug 2004 to 31 Jul 2006)
• Jonathan Mitrani

  IRN JXM02858

  • CF30 Customer (4 May 2012 to 6 Mar 2016)
• Jonathan Simon Klus

  IRN JSK01084

  • SMF4 Chief Risk (since 29 Aug 2019)
  • SMF2 Chief Finance (since 7 Mar 2016)
  • SMF3 Executive Director (20 Jan 2017 to 8 Dec 2022)
  • CF28 Systems and controls (21 Nov 2014 to 6 Mar 2016)
• Julian Michael Simmonds

  IRN JMS01216

  • SMF12 Chair of the Remuneration Committee (7 Mar 2016 to 31 Mar 2017)
  • CF2 Non Executive Director (29 Oct 2007 to 6 Mar 2016)
• Juri Vladmirovich Poletayev

  IRN JVP01012

  • CF1 Director (1 Dec 2001 to 3 Jul 2005)
• Kabir Ram Pruthi

  IRN KRP01032

  • CF30 Customer (10 Nov 2015 to 6 Mar 2016)
• Kamilla Sharafutdinova

  IRN KXS02020

  • CF30 Customer (16 Jan 2015 to 21 Jul 2015)
• Kanika Malik

  IRN KXM01770

  • [FCA CF] Client dealing (31 Aug 2016 to 2 Apr 2019)
  • CF30 Customer (20 Jun 2011 to 6 Mar 2016)

No changes recorded yet.