XPS Investment Limited

• Principal Place of Business

  Phoenix House

  1 Station Hill

  Reading

  Berkshire

  RG1 1NB

  UNITED KINGDOM

  Phone

  +441183130700

  Web

  https://www.xpsgroup.com

• Complaints Contact

  1 City Square

  Leeds

  LS1 2ES

  UNITED KINGDOM

  Phone

  +4401132440200

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Life Policy, Non-investment insurance contracts

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• James Stuart Leeming

  IRN JSL01093

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (9 Aug 2019 to 8 Dec 2019)
• Joanna Rayne Carter

  IRN JRC01188

  • [FCA CF] Client dealing (since 7 Oct 2022)
• Joanne Hull

  IRN JXH01754

  • SMF16 Compliance Oversight (9 Dec 2019 to 7 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 May 2021)
  • CF10 Compliance Oversight (20 May 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 May 2019 to 8 Dec 2019)
• Joel Curtis

  IRN JXC03547

  • [FCA CF] Client dealing (since 16 Apr 2026)
• John Gordon

  IRN JXG02061

  • CF30 Customer (26 Nov 2014 to 8 Dec 2019)
• John Paul Batting

  IRN JPB01087

  • CF30 Customer (8 Jul 2011 to 1 Apr 2019)
  • CF1 Director (8 Jul 2011 to 1 Apr 2019)
• John Weir

  IRN JXW00539

  • [FCA CF] Manager of certification employee (since 1 Apr 2026)
  • [FCA CF] Client dealing (since 21 Jun 2021)
• Jonathan Dominic Punter

  IRN JDP01043

  • CF30 Customer (8 Jul 2011 to 26 Apr 2018)
  • CF2 Non Executive Director (8 Jul 2011 to 12 Sep 2019)
• Jonathan Patrick Kevin Lawlor

  IRN JPL01131

  • [FCA CF] Manager of certification employee (7 Feb 2024 to 1 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2026)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
• Jonathan Samuel Bernstein

  IRN JSB01064

  • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2022)
  • CF1 Director (15 Jan 2018 to 8 Dec 2019)

No changes recorded yet.