MergerPlace

UK Investment Banking & Assets MGM Firm

London, United Kingdom


  • Asking Price: $390,000
  • Gross Income: Not Disclosed
  • Cash Flow: Not Disclosed
  • Real Estate: Not Disclosed
  • Inventory: Not Disclosed
  • FF&E: Not Disclosed
  • Listing ID: #227028
  • Established: Not Disclosed
  • Employees:

Business Description

This firm must protect the money it holds and/or controls on behalf of customers. It cannot lend this money or use it to finance its own business.Specific requirements may change this firm’s ability to hold and/or control client money – see below for details.

Requirements

Requirements are rules placed on the firm that apply to all of the financial services activities that it can operate.

BIPRU firm MiFID activity restriction
Unable to carry on the MIFID investment service and activity of placing of financial instruments without a firm commitment basis (Annex 1, Section A7 of MiFID)
May control money if settlement through a mandate.

The general requirement not to hold or control CLIENT MONEY does not restrict the firm from controlling CLIENT MONEY if it arises from an agreement under which the firm effects settlement through a mandate or otherwise.

Advising on investments (except on Pension Transfers and Pension Opt Outs)
Customer Type
Eligible Counterparty
Professional
Investment Type
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
Unit
Warrant
Limitation
Rights to or interests in (both).

Advising on P2P agreements
Customer Type
Eligible Counterparty
Professional

Agreeing to carry on a regulated activity
Limitation
Limited to carry on regulated activities.

Arranging (bringing about) deals in investments
Customer Type
Eligible Counterparty
Professional
Investment Type
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
Unit
Warrant
Limitation
Rights to or interests in (both).


Business Details

Primary Business Category: Finance - Insurance Carriers & Related
Location: United Kingdom
Metropolitan Area: London

Company Information

Home Based: No
Franchise: No
Relocatable: No
Number of Employees:

Financial Information

Asking Price: $390,000
Seller Financing Available: No

Contact Business Seller

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Business Listed By:

Rick Brown

MergersCorp M&A International