AQUIS EXCHANGE LIMITED

• Principal Place of Business

  63 Queen Victoria Street

  London

  EC4N 4UA

  UNITED KINGDOM

  Phone

  +4402035976330

  Web

  https://www.aquis.eu

• Complaints Contact

  Aquis Exchange Limited

  63 Queen Victoria Street

  London

  City Of London

  EC4N 4UA

  UNITED KINGDOM

  Phone

  +4402035976375

• 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, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trading Platform

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Nicola Jane Beattie

  IRN NXB01554

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 5 Oct 2021)
  • CF2 Non Executive Director (4 Nov 2013 to 8 Dec 2019)
• Pasquale Crispi

  IRN PXC01313

  • CF30 Customer (23 Apr 2014 to 8 Dec 2019)
• Pawel Czupryna

  IRN PXC02087

  • CF2 Non Executive Director (4 Nov 2013 to 12 Jun 2015)
• Pawel Tamborski

  IRN PXT01618

  • CF2 Non Executive Director (18 Aug 2015 to 30 Mar 2016)
• Philip Olm

  IRN PXO00062

  • SMF16 Compliance Oversight (since 7 Apr 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Apr 2026)
  • [FCA CF] Significant management (31 Mar 2021 to 7 Apr 2026)
• Richard Ernest Tulloch Bennett

  IRN REB01123

  • CF2 Non Executive Director (19 May 2014 to 8 Dec 2019)
• Richard Fisher

  IRN RJF01108

  • SMF3 Executive Director (since 31 May 2023)
  • [FCA CF] Significant management (31 Mar 2021 to 30 Nov 2023)
• Sakeena Lalljee

  IRN SXL01891

  • CF30 Customer (23 Apr 2014 to 8 Dec 2019)
• Sean Alan Melnick

  IRN SAM01311

  • CF2 Non Executive Director (4 Nov 2013 to 22 May 2018)
• Viet Lee

  IRN VXL00035

  • [FCA CF] Significant management (31 Mar 2021 to 5 Dec 2022)

No changes recorded yet.