Apex Unitas Limited

• Principal Place of Business

  Apex Unitas Limited

  4th Floor, 140 Aldersgate Street

  London

  City Of London

  EC1A 4HY

  UNITED KINGDOM

  Phone

  +4402077980956

  Web

  https://www.apexgroup.com/fund-solution/apex-unitas-investment-platform/

• Complaints Contact

  Apex Unitas Limited, 4th Floor

  140 Aldergate Street

  London

  London

  EC1A 4HY

  UNITED KINGDOM

  Phone

  +4402077980956

• 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, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), 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, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, 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.

• Alexa Sale

  IRN AES01120

  • CF11 Money Laundering Reporting (27 Feb 2013 to 31 Jul 2014)
  • CF10 Compliance Oversight (27 Feb 2013 to 31 Jul 2014)
• Barry Lawson

  IRN BXL01054

  • CF11 Money Laundering Reporting (27 Aug 2014 to 5 Apr 2017)
  • CF10 Compliance Oversight (27 Aug 2014 to 5 Apr 2017)
• Beth Cazalet

  IRN BXC00059

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Dec 2020 to 11 Mar 2022)
  • SMF16 Compliance Oversight (10 Dec 2020 to 11 Mar 2022)
• Brian Rooney

  IRN BXR00149

  • [FCA CF] Significant management (29 Nov 2021 to 14 Apr 2025)
  • [FCA CF] Material risk taker (29 Nov 2021 to 14 Apr 2025)
• Bridget Barker

  IRN BXB28279

  • SMF9 Chair of the Governing Body (since 9 Apr 2020)
• Chris O'Driscoll

  IRN CXO01041

  • [FCA CF] Significant management (since 3 Dec 2020)
• Damian Ashley Simmons

  IRN DAS01198

  • [FCA CF] Functions requiring qualifications (6 Nov 2020 to 6 Mar 2026)
  • [FCA CF] Significant management (6 Nov 2020 to 6 Mar 2026)
  • SMF3 Executive Director (9 Dec 2019 to 3 Mar 2026)
  • CF10a CASS Oversight function (27 Feb 2013 to 8 Dec 2019)
  • CF1 Director (27 Feb 2013 to 8 Dec 2019)
  • CF28 Systems and controls (27 Feb 2013 to 8 Dec 2019)
• Martin Wilding

  IRN MXW02341

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2026)
• Neil James Clark

  IRN NJC01285

  • [FCA CF] CASS oversight function (since 6 Mar 2026)
  • SMF1 Chief Executive (since 17 Feb 2025)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (19 Mar 2018 to 8 Dec 2019)
• Sabina Rizvi

  IRN SXR01508

  • SMF16 Compliance Oversight (since 28 Jun 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Jun 2022 to 23 Oct 2025)

No changes recorded yet.