Axi Financial Services (UK) Limited

• Principal Place of Business

  Axi Financial Services (UK) Ltd

  1 Finsbury Market

  London

  EC2A 2BN

  UNITED KINGDOM

  Phone

  +442038572000

  Web

  https://www.axi.com/uk

• Complaints Contact

  1 Finsbury Market

  London

  EC2A 2BN

  UNITED KINGDOM

  Phone

  +442035449646

• 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), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

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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), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  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.

• Arvind Gogia

  IRN AXG02081

  • CF30 Customer (21 Apr 2011 to 30 Dec 2011)
• Ashley Nigel Clarke

  IRN ANC01032

  • CF10 Compliance Oversight (16 Aug 2007 to 21 Sep 2017)
  • CF3 Chief Executive (16 Aug 2007 to 31 May 2019)
  • CF8 Apportionment and Oversight (16 Aug 2007 to 31 Oct 2007)
  • CF1 Director (16 Aug 2007 to 31 May 2019)
• Charles Frances Cooper

  IRN CFC01053

  • CF30 Customer (30 Apr 2014 to 26 Sep 2019)
• Chengxu Huang

  IRN CXH01258

  • CF30 Customer (1 Nov 2007 to 2 Jan 2009)
  • CF26 Customer Trading (16 Aug 2007 to 31 Oct 2007)
• Christopher James Lumley

  IRN CJL01170

  • CF30 Customer (23 Sep 2011 to 2 Mar 2012)
• Christopher Laurence Thomas

  IRN CLT01020

  • CF11 Money Laundering Reporting (16 Aug 2007 to 13 Nov 2009)
  • CF1 Director (16 Aug 2007 to 13 Nov 2009)
• David Edward Williamson

  IRN DEW01079

  • CF30 Customer (14 Oct 2011 to 23 Aug 2013)
• Dipak Rasiklal Parekh

  IRN DRP01125

  • CF2 Non Executive Director (22 Oct 2013 to 8 Jan 2015)
• Emma Louise Holton

  IRN ELH01016

  • CF30 Customer (9 Mar 2010 to 15 Oct 2012)
• Fayez Al Momani

  IRN FXA01026

  • CF1 Director (21 Oct 2010 to 30 Sep 2018)
  • CF30 Customer (22 Jun 2010 to 22 Oct 2012)
  • CF2 Non Executive Director (24 Oct 2007 to 21 Oct 2010)

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No changes recorded yet.