Permission for:
452811 - Sturgeon Ventures LLP
| Requirements |
|---|
| May control but not hold client money & Assets |
| Activity Name: Advising on investments (except on Pension Transfers and Pension Opt Outs) |
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Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |
| Activity Name: Agreeing to carry on a regulated activity |
|
Limitation Limited to carry on regulated activities. |
| Activity Name: Arranging (bringing about) deals in investments |
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Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |
| Activity Name: Arranging safeguarding and administration of assets |
|
Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |
| Activity Name: Dealing in investments as agent |
|
Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |
| Activity Name: Establishing, operating or winding up an unregulated collective investment scheme |
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| Activity Name: Making arrangements with a view to transactions in investments |
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Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |
| Activity Name: Managing investments |
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Investment Instrument 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) Debenture Life Policy 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 Customer type Eligible Counterparty Professional Retail (Investment) Limitation Rights to or interests in (both). |