WILLIAMS TRADING EUROPE, LLP

Date authorised
1 April 2013
Companies House
OC315909
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Woodside
    Cozens Lane West
    Broxbourne
    Hertfordshire
    EN10 6QL
    UNITED KINGDOM
    Phone
    +4402070096500
    Web
    https://www.wtco.com

  • Complaints Contact

    Woodside
    Cozens Lane West
    Broxbourne
    Hertfordshire
    EN10 6QL
    UNITED KINGDOM
    Phone
    +4402070096500

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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
    • · 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
    • · 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, 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
    • · 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, 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
    • · 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, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Philippe Ouch

    IRN PXO01252

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Feb 2013 to 8 Dec 2019)
  • Raymond Francis McCabe

    IRN RFM01046

    • CF11 Money Laundering Reporting (11 Jan 2008 to 8 Sep 2011)
    • CF10 Compliance Oversight (11 Jan 2008 to 8 Sep 2011)
    • CF30 Customer (1 Nov 2007 to 1 Sep 2011)
    • CF21 Investment Adviser (11 Sep 2007 to 31 Oct 2007)
    • CF4 Partner (3 Jul 2007 to 1 Sep 2011)
    • CF26 Customer Trading (8 Mar 2006 to 31 Oct 2007)
  • Stephen Bond

    IRN SXB02116

    • CF10 Compliance Oversight (16 Aug 2012 to 12 Jan 2018)
    • CF4 Partner (29 Jun 2012 to 12 Jan 2018)
    • CF11 Money Laundering Reporting (29 Jun 2012 to 12 Jan 2018)
    • CF30 Customer (19 Jan 2012 to 12 Jan 2018)
  • Stephen Garreth Pinkster

    IRN SGP01060

    • CF30 Customer (6 Apr 2009 to 5 Nov 2010)
  • Thomas Threlfall

    IRN TXT01311

    • CF30 Customer (11 Jul 2011 to 9 May 2014)
  • Timothy James Gale

    IRN TJG01046

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (31 Jan 2018 to 8 Dec 2019)
    • CF4 Partner (31 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (15 Mar 2012 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.