AUXILIUM FINANCIAL RISK MANAGEMENT LTD.

Date authorised
1 August 2023
Companies House
11400671
Last scraped
4 days ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Phoenix Cottage
    Woodhill Lane
    Shamley Green
    Guildford
    Surrey
    GU5 0SP
    UNITED KINGDOM
    Phone
    +4402037951765
    Web
    https://www.auxiliumfrm.co.uk

  • Complaints Contact

    Phoenix Cottage
    Woodhill Lane
    Shamley Green
    Guildford
    Surrey
    GU5 0SP
    UNITED KINGDOM
    Phone
    +4402037951765

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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, 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, Warrant

    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.

  • 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, 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, 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, Warrant

    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.

  • Investment Setup

    For Eligible Counterparty, Professional, 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, 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, Warrant

    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.

  • Alison Jennie Lye

    IRN AXL00316

    • SMF16 Compliance Oversight (since 1 Aug 2023)
  • Jonathan Paul Quinton Lye

    IRN JPL01098

    • SMF1 Chief Executive (since 1 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Aug 2023)
    • SMF3 Executive Director (since 1 Aug 2023)

Recent activity

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

No changes recorded yet.