Axis Capital Markets Limited

• Principal Place of Business

  73 Watling Street

  London

  City Of London

  EC4M 9BJ

  UNITED KINGDOM

  Phone

  +4402030260320

  Web

  http://www.axcap247.com

• Complaints Contact

  73 Watling Street

  London

  EC4M 9BJ

  UNITED KINGDOM

  Phone

  +4402030260320

• 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), 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

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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, 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Arranges Asset Safekeeping

  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), 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

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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, 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), 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

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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, 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), 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

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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 hold financial instruments for own account unless it meets the 'matched principal exemption conditions' in the FSA's Glossary of defined expressions used in the FSA's Handbook

• 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), 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 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.

• Adil Eren Kocaemir

  IRN AXK00278

  • [FCA CF] Client dealing (30 Mar 2021 to 31 Mar 2023)
• Amrit Pal Singh Gill

  IRN APG01121

  • SMF3 Executive Director (9 Dec 2019 to 21 Oct 2025)
  • CF1 Director (16 Nov 2015 to 8 Dec 2019)
• Benjamin Keith George Tadd

  IRN BKT01008

  • [FCA CF] Client dealing (29 Sep 2023 to 31 Jan 2025)
• Carlos Ferris

  IRN CXF01389

  • CF30 Customer (20 May 2013 to 1 Apr 2014)
• Eduardo Gavotti

  IRN EXG01301

  • CF10 Compliance Oversight (7 Aug 2014 to 30 Jul 2016)
  • CF11 Money Laundering Reporting (9 Apr 2013 to 1 Apr 2014)
• Ernesto Moreno

  IRN EXM01617

  • CF30 Customer (9 Apr 2013 to 1 Apr 2014)
  • CF1 Director (9 Apr 2013 to 1 Apr 2014)
• George Jack Spencer

  IRN GJS01199

  • [FCA CF] Client dealing (since 5 Aug 2022)
• James Callum Comrie

  IRN JCC01227

  • [FCA CF] Material risk taker (since 30 Mar 2021)
  • [FCA CF] Manager of certification employee (since 30 Mar 2021)
  • [FCA CF] Client dealing (since 30 Mar 2021)
• Kamran Akhtar Hussain

  IRN KXH01512

  • [FCA CF] Client dealing (30 Mar 2021 to 25 Apr 2023)
• Lewis Richard Jones

  IRN LRJ01009

  • [FCA CF] Client dealing (since 5 Oct 2023)

No changes recorded yet.