ASHENDEN FINANCE (UK) LIMITED

• Principal Place of Business

  Flat 31

  Ashburnham Mansions

  Ashburnham Road

  London

  SW10 0PA

  UNITED KINGDOM

  Phone

  +442036370181

  Web

  https://www.ashendenfinance.ch/en/home

• Complaints Contact

  Flat 31

  Ashburnham Mansions

  Ashburnham Road

  London

  SW10 0PA

  UNITED KINGDOM

  Phone

  +442036370181

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

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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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

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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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

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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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

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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.
  • · 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  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.

• Andrea Pesenti

  IRN AXP00846

  • [FCA CF] Client dealing (since 1 Aug 2023)
• Andrew Simon Huxstep

  IRN ASH01062

  • CF30 Customer (15 Jun 2016 to 3 Nov 2016)
• Davide Roberto Melone

  IRN DRM01199

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • CF30 Customer (1 Dec 2016 to 8 Dec 2019)
• John Michael Osborne

  IRN JMO01070

  • CF30 Customer (1 Mar 2016 to 31 Dec 2016)
  • CF11 Money Laundering Reporting (1 Mar 2016 to 31 Dec 2016)
  • CF10 Compliance Oversight (1 Mar 2016 to 31 Dec 2016)
  • CF1 Director (1 Mar 2016 to 31 Dec 2016)
• Kyle Zundel

  IRN KXZ01089

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • CF30 Customer (10 Mar 2016 to 8 Dec 2019)
• Laurent Richard Ashenden

  IRN LRA01020

  • [FCA CF] Client dealing (since 1 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Mar 2016 to 8 Dec 2019)
• Loredana Ponti

  IRN LXP01531

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • CF30 Customer (5 Apr 2016 to 8 Dec 2019)
• Luca Di Fede

  IRN LXD01564

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • CF30 Customer (14 Nov 2016 to 8 Dec 2019)
• Michael John Sealey

  IRN MJS01237

  • SMF3 Executive Director (since 29 Jun 2023)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (15 Dec 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Dec 2016 to 8 Dec 2019)
  • CF1 Director (AR) (21 Jun 2016 to 3 Nov 2016)
  • CF30 Customer (21 Jun 2016 to 3 Nov 2016)
• Michele Bianchi

  IRN MXB09174

  • [FCA CF] Client dealing (since 1 Aug 2023)
  • CF30 Customer (10 Dec 2018 to 8 Dec 2019)

• ASG Capital (UK) Limited (no longer appointed)

  FRN 749562 · Appointed 10 Jun 2016 · Until 3 Nov 2016

No changes recorded yet.