ABSA SECURITIES UNITED KINGDOM LIMITED

• Principal Place of Business

  Absa Securities UK

  40 Bank Street

  London

  Tower Hamlets

  E14 5NR

  UNITED KINGDOM

  Phone

  +4402039616049

• Complaints Contact

  Absa Securities UK

  40 Bank Street

  London

  E14 5NR

  UNITED KINGDOM

  Phone

  +442039616049

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Emissions Allowance, 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, Structured Deposits, 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 Eligible Counterparty, Professional, Alternative Debenture, 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, Emissions Allowance, 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, Structured Deposits, 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, Alternative Debenture, 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, Emissions Allowance, 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

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Emissions Allowance, 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, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Emissions Allowance, 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, Structured Deposits, 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.

• Jason George Vernon Lacey

  IRN JGL01101

  • SMF3 Executive Director (since 1 Apr 2025)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • CF29 Significant management (2 Oct 2018 to 8 Dec 2019)
• Jolene Ann Abshire

  IRN JAC01400

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Oct 2018 to 8 Dec 2019)
• Judith Chamboko

  IRN JXC03213

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (2 Oct 2018 to 8 Dec 2019)
• Kibii Denell Sisulu

  IRN KDS01065

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2021)
  • CF30 Customer (2 Oct 2018 to 8 Dec 2019)
• Lisa Sofia Falk

  IRN LXF00135

  • SMF16 Compliance Oversight (15 Feb 2022 to 12 Aug 2022)
• Luke Alexander Browne

  IRN LXB00423

  • [FCA CF] Manager of certification employee (since 31 Mar 2022)
  • [FCA CF] Client dealing (since 31 Mar 2022)
• Margaret Kate Ruhston

  IRN MXR01081

  • [FCA CF] Client dealing (since 10 Oct 2025)
• Marina Marini

  IRN MXM02147

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Apr 2026)
  • CF30 Customer (24 Oct 2018 to 8 Dec 2019)
• Mark Anthony Evans

  IRN MAE01136

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Jan 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Jan 2022)
  • CF10 Compliance Oversight (2 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (2 Oct 2018 to 16 Aug 2019)
• Mark Simon Merson

  IRN MSM01060

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (2 Oct 2018 to 8 Dec 2019)

No changes recorded yet.