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.

• Jonathan Sudaria

  IRN JXS02249

  • [FCA CF] Client dealing (since 22 Feb 2022)
• Joseph William David Bond

  IRN JWB01176

  • CF30 Customer (22 Dec 2010 to 8 Feb 2011)
• Katie Polly le Roux

  IRN KPW01026

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (27 Aug 2020 to 17 Jun 2025)
  • CF10 Compliance Oversight (5 Oct 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 29 Sep 2015)
  • CF11 Money Laundering Reporting (25 Feb 2010 to 31 Aug 2015)
• Kenneth Andrew Maxwell

  IRN KAM01155

  • CF1 Director (AR) (19 Jul 2016 to 26 Oct 2018)
• Keyur Deepak Nagori

  IRN KDN01008

  • CF1 Director (4 Mar 2015 to 12 May 2017)
• Khaleefa Butti Omair Yousef Ahmad Al Muhairi

  IRN KBA01011

  • CF1 Director (25 Oct 2007 to 24 May 2016)
• Khurram Ali

  IRN KXA01397

  • CF30 Customer (25 Oct 2010 to 31 Jan 2011)
• Kraig Noble

  IRN KCN01006

  • [FCA CF] Client dealing (since 22 Feb 2022)
  • [FCA CF] Manager of certification employee (since 22 Feb 2022)
• Mahdi Kanbar Agha

  IRN MXK01712

  • CF1 Director (AR) (25 Jul 2008 to 8 Feb 2011)
  • CF30 Customer (25 Jul 2008 to 8 Feb 2011)
• Marc Kimsey

  IRN MXK01665

  • SMF3 (AR) Executive Director function (7 Jun 2021 to 31 Oct 2023)
  • CF30 Customer (26 Jun 2018 to 8 Dec 2019)

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No changes recorded yet.