CGS International Securities UK Ltd.

• Principal Place of Business

  53 New Broad Street

  London

  EC2M 1JJ

  UNITED KINGDOM

  Phone

  +442072012197

  Web

  https://www.cgsi.com

• Complaints Contact

  53 New Broad Street

  London

  EC2M 1JJ

  UNITED KINGDOM

  Phone

  +4402072012197

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• JAMES MACKENZIE JOHNSTONE

  IRN JMJ01022

  • SMF16 Compliance Oversight (since 28 May 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 May 2020)
• John Choi

  IRN JXC02564

  • CF2 Non Executive Director (15 Oct 2012 to 8 Dec 2019)
• John Donovan

  IRN JXD01968

  • [FCA CF] Client dealing (since 7 Oct 2021)
• John Wai Kwok Szeto

  IRN JWS01089

  • CF10 Compliance Oversight (7 Mar 2008 to 13 Sep 2010)
  • CF11 Money Laundering Reporting (7 Mar 2008 to 13 Sep 2010)
  • CF30 Customer (1 Nov 2007 to 13 Sep 2010)
  • CF21 Investment Adviser (31 May 2007 to 31 Oct 2007)
• Jordan Smith

  IRN JXS16524

  • [FCA CF] Client dealing (since 28 Mar 2024)
• Julia Fuini

  IRN JXF01561

  • CF30 Customer (15 May 2009 to 8 May 2010)
• Julia Hashim

  IRN JXH02152

  • CF2 Non Executive Director (16 Jun 2008 to 16 Oct 2012)
• Julian Dominic Monteiro

  IRN JDM01246

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (4 Aug 2015 to 8 Dec 2019)
• Lindsay Clappe

  IRN LXC01279

  • CF21 Investment Adviser (23 Jun 2006 to 22 Feb 2007)
  • CF26 Customer Trading (23 Jun 2004 to 22 Feb 2007)
• Lisa Jane Walsh

  IRN LJW01040

  • CF13 Finance (1 Dec 2001 to 20 Dec 2004)
  • CF26 Customer Trading (1 Dec 2001 to 20 Dec 2004)

No changes recorded yet.