Whitebox Advisors London, LLP

• Principal Place of Business

  Standbrook House

  2-5 Old Bond Street

  London

  W1S 4PD

  UNITED KINGDOM

  Phone

  +4402031428300

  Web

  https://www.whiteboxadvisors.com

• Complaints Contact

  Standbrook House

  2-5 Old Bond Street

  London

  W1S 4PD

  UNITED KINGDOM

  Phone

  +4402031428300

• 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.

• 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, 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.

• 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.

• Manages Your Portfolio

  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.

• Nickolas Arthur Stukas

  IRN NAS01108

  • CF30 Customer (2 Nov 2015 to 8 Dec 2019)
• Riccardo La Villa

  IRN RXL01369

  • SMF27 Partner (since 13 May 2025)
  • [FCA CF] Client dealing (since 3 Sep 2024)
• Rolphy Lu Morrell

  IRN RXL01757

  • CF30 Customer (2 Mar 2017 to 18 Sep 2017)
• Samuel John Bennett

  IRN SJB01721

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF10 Compliance Oversight (12 Sep 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Sep 2018 to 8 Dec 2019)
  • CF30 Customer (12 Sep 2018 to 8 Dec 2019)
• Simon Andrew Waxley

  IRN SAW01250

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
  • SMF27 Partner (9 Dec 2019 to 5 Dec 2024)
  • CF11 Money Laundering Reporting (10 Nov 2010 to 12 Sep 2018)
  • CF10 Compliance Oversight (10 Nov 2010 to 10 Mar 2015)
  • CF4 Partner (10 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (10 Nov 2010 to 8 Dec 2019)
• Wafa Sania Tawfeeq

  IRN WST01015

  • CF30 Customer (3 Apr 2012 to 22 Apr 2014)
  • CF4 Partner (16 Dec 2010 to 10 May 2012)
• Yu-Yu Lin

  IRN YXL01115

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Mar 2024)
  • CF30 Customer (9 Apr 2018 to 8 Dec 2019)

No changes recorded yet.