BOCI Global Commodities (UK) Limited

• Principal Place of Business

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +442033019977

• Complaints Contact

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +442033019970

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), Government and public security, 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), Share, Spread Bet, Unit

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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), Government and public security, 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), Share, Spread Bet, Unit

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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), Government and public security, 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), Share, Spread Bet, Unit

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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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• 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), Government and public security, 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), Share, Spread Bet, Unit

  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.

• Stefan Westphal

  IRN SXW01678

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Sep 2022)
  • CF30 Customer (28 Jan 2015 to 8 Dec 2019)
• Tong Li

  IRN TXL01268

  • SMF9 Chair of the Governing Body (25 Apr 2023 to 17 Jan 2024)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 17 Jan 2024)
  • CF2 Non Executive Director (19 Jan 2012 to 8 Dec 2019)
• WAI MAN LAU

  IRN WXL00062

  • Director of firm who is not a certification employee or a SMF manager (1 Jan 2022 to 4 Jun 2024)
• Xiao Fu

  IRN XXF01036

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (27 Aug 2014 to 8 Dec 2019)
• Xiao Zhang

  IRN XXZ01039

  • CF30 Customer (26 Apr 2013 to 3 Feb 2016)
• Xiaoyun Dong

  IRN XXD01028

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Feb 2017 to 8 Dec 2019)
• YING LU

  IRN YXL01097

  • CF2 Non Executive Director (10 Oct 2012 to 11 Aug 2016)
• YUN ZHOU

  IRN YXZ01072

  • CF30 Customer (20 Nov 2012 to 30 Jul 2014)
• Yan Du

  IRN YXD00042

  • SMF9 Chair of the Governing Body (since 24 Mar 2025)
  • Director of firm who is not a certification employee or a SMF manager (since 28 Jun 2024)
• Yat Wai Chan

  IRN YWC01002

  • CF2 Non Executive Director (19 Jan 2012 to 31 Jul 2012)

No changes recorded yet.