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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  Show 2 limitations Hide limitations

  • · 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.

• Richard McKay

  IRN RJM01375

  • [FCA CF] Client dealing (31 Aug 2016 to 11 Dec 2022)
  • [FCA CF] Material risk taker (31 Aug 2016 to 8 Mar 2021)
  • CF30 Customer (1 Oct 2015 to 6 Mar 2016)
• Richard Nigel Hawken

  IRN RNH01028

  • CF30 Customer (12 Jan 2011 to 6 Nov 2012)
• Richard Trevor Snookes

  IRN RTS01030

  • CF11 Money Laundering Reporting (14 Dec 2010 to 20 May 2014)
• Robert Chambers

  IRN RAC01282

  • CF30 Customer (13 Jun 2012 to 12 May 2014)
• Robert Hagon

  IRN RXH01269

  • [FCA CF] Significant management (7 Mar 2018 to 8 Mar 2021)
  • [FCA CF] Material risk taker (7 Mar 2018 to 8 Mar 2021)
  • [FCA CF] Client dealing (7 Mar 2018 to 10 Mar 2022)
• Robert Phillip Hardy

  IRN RPH01065

  • CF30 Customer (7 May 2013 to 17 Jun 2013)
• Roberto Petz

  IRN RXP02172

  • [FCA CF] Client dealing (31 Aug 2016 to 29 Mar 2019)
  • CF30 Customer (8 Jul 2015 to 6 Mar 2016)
• Robin Gary Engelbertink

  IRN RGE01020

  • CF30 Customer (24 Jan 2008 to 1 May 2014)
• Rodney William Stern

  IRN RWS01136

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 13 Feb 2020)
  • CF11 Money Laundering Reporting (27 Mar 2015 to 6 Mar 2016)
• Roger Poindexter Munger

  IRN RPM01102

  • SMF18 Other Overall Responsibility (6 Nov 2019 to 10 Mar 2022)
  • SMF3 Executive Director (7 Mar 2016 to 6 Nov 2019)
  • CF1 Director (27 Oct 2009 to 6 Mar 2016)

No changes recorded yet.