Alp Financial Limited

Date authorised
8 October 2018
Companies House
10518614
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 7
    1 Canada Square
    Canary Wharf
    London
    E14 5AA
    UNITED KINGDOM
    Phone
    +4402080497488
    Web
    https://www.alpfin.com

  • Complaints Contact

    Level 7
    1 Canada Square
    Canary Wharf
    London
    E14 5AA
    UNITED KINGDOM
    Phone
    +4402080497488

What this firm is allowed to do

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

  • 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    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.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

  • Investment Setup

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    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.

  • Bin Ling

    IRN BXL01351

    • SMF1 Chief Executive (since 23 Oct 2020)
    • SMF3 Executive Director (since 23 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Oct 2020)
    • SMF16 Compliance Oversight (since 23 Oct 2020)
    • CF2 Non Executive Director (8 Oct 2018 to 1 Jan 2019)
  • Daniel Leon Hornstein

    IRN DLH01092

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 May 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 May 2020)
    • SMF3 Executive Director (9 Dec 2019 to 19 May 2020)
    • CF1 Director (8 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2018 to 8 Dec 2019)
  • Gary Boon

    IRN GXB00272

    • [FCA CF] Significant management (1 Jun 2020 to 9 Feb 2023)
    • [FCA CF] Manager of certification employee (1 Jun 2020 to 9 Feb 2023)
  • Pei Wang

    IRN PXW00219

    • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • Si Chai

    IRN SXC09890

    • SMF3 Executive Director (since 1 Oct 2020)
    • CF2 Non Executive Director (24 Jan 2019 to 8 Dec 2019)
  • Soren Rosenkrantz Klausen

    IRN SRK01018

    • [FCA CF] Client dealing (17 Aug 2020 to 15 Sep 2022)
    • [FCA CF] Significant management (17 Aug 2020 to 15 Sep 2022)
  • Yusi Liu

    IRN YXL01103

    • CF30 Customer (8 Oct 2018 to 19 Jul 2019)
    • CF1 Director (8 Oct 2018 to 19 Jul 2019)

Recent activity

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

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