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.

Hugh Roderick Ward
IRN HRW01009
- CF2 Non Executive Director (22 Feb 2005 to 8 Dec 2019)
Jeffrey Tessler
IRN JXT01226
- CF3 Chief Executive (1 Dec 2001 to 19 Jan 2004)
Jennifer Anne Nolan
IRN JAK01038
- CF21 Investment Adviser (1 Dec 2001 to 26 Jan 2007)
Jim Neville
IRN JXN00064
- [FCA CF] Material risk taker (7 Dec 2020 to 28 Sep 2021)
- [FCA CF] Significant management (7 Dec 2020 to 28 Sep 2021)
John Alexander Lewis Bailey
IRN JAB01431
- SMF3 Executive Director (since 1 Jul 2024)
John Charles Tisdall
IRN JCT01122
- SMF3 Executive Director (9 Dec 2019 to 19 Jun 2023)
- CF1 Director (8 Aug 2018 to 8 Dec 2019)
John Meikle Johnston
IRN JMJ01055
- CF28 Systems and controls (1 Nov 2007 to 31 Mar 2017)
- CF13 Finance (30 Jan 2007 to 31 Oct 2007)
John William Jack
IRN JWJ01023
- CF28 Systems and controls (26 Nov 2010 to 8 Dec 2019)
Jonathan Hugh David Carey
IRN JHC01036
- CF2 Non Executive Director (17 Aug 2012 to 8 Dec 2019)
Joseph Wheatley
IRN JXW01780
- CF1 Director (6 Jan 2005 to 11 Feb 2008)

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.