BNY XBK (UK) Limited

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Addresses

The contact details this firm has registered with the FCA.

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

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Investment Setup

For Eligible Counterparty, Professional, Alternative Debenture, 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, Life Policy, 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, Spread Bet, Unit, Warrant

Senior staff personally approved by the FCA to hold their roles here.

Alain Paul Lesjongard
IRN AXL01231
- CF10 Compliance Oversight (12 Oct 2005 to 30 Sep 2016)
Alan Christopher Burton
IRN ACB01117
- CF2 Non Executive Director (8 Apr 2004 to 31 Dec 2013)
Alan Powell
IRN AXP01394
- CF1 Director (8 Apr 2004 to 15 Nov 2011)
Angus Kenneth Cameron
IRN AKC01014
- CF13 Finance (8 Nov 2004 to 9 Jan 2006)
Annette Deborah Fong
IRN ADF01079
- SMF16 Compliance Oversight (since 2 Jul 2024)
Basima Khuram
IRN BXK08115
- SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jul 2024)
Catherine Parker
IRN CXP01398
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jul 2024)
- CF11 Money Laundering Reporting (26 Nov 2008 to 8 Dec 2019)
Chris Isles
IRN CXI01012
- CF11 Money Laundering Reporting (1 Dec 2001 to 10 Oct 2002)
Colin Ian JOHNSTON
IRN CIJ00009
- CF28 Systems and controls (19 Apr 2017 to 28 Sep 2017)
Cornelius Joseph De Groot
IRN CXD00032
- SMF1 Chief Executive (since 1 Jul 2024)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.