China International Capital Corporation (UK) Limited

• Principal Place of Business

  China International Capital Corporation (UK) Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442073675718

• Complaints Contact

  China International Capital Corporation (UK) Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442073675718

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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, 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, Unit, 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

  For Eligible Counterparty, Professional

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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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, 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, 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), Rolling spot forex contract, Share, Unit, 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, 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), Rolling spot forex contract, Share, Unit, 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.

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

• Shiming Chen

  IRN SXC13328

  • [FCA CF] Client dealing (since 1 Dec 2020)
  • CF30 Customer (24 Apr 2019 to 8 Dec 2019)
• Shun Li

  IRN SXL01693

  • CF28 Systems and controls (27 Apr 2010 to 11 Jul 2014)
• Siyu Chen

  IRN SXC15381

  • [FCA CF] Client dealing (1 Dec 2020 to 8 Feb 2022)
  • CF30 Customer (29 May 2019 to 8 Dec 2019)
• Sophie Ying Dickgiesser

  IRN SYY01002

  • [FCA CF] Client dealing (1 Dec 2020 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (1 Dec 2020 to 30 Sep 2024)
  • [FCA CF] Material risk taker (1 Dec 2020 to 30 Sep 2024)
  • CF30 Customer (27 Oct 2014 to 8 Dec 2019)
• Susan Li

  IRN SXL01667

  • CF2 Non Executive Director (18 Feb 2010 to 16 Nov 2015)
• Taiping Mo

  IRN TXM13321

  • CF30 Customer (15 Apr 2019 to 16 Sep 2019)
• Toby Sean Clark

  IRN TSC01013

  • CF29 Significant management (31 Mar 2013 to 31 Mar 2018)
  • CF30 Customer (21 Aug 2012 to 31 Mar 2018)
• Toma Alejandro Ziegler

  IRN TAZ01008

  • [FCA CF] Client dealing (3 Nov 2023 to 18 Aug 2025)
• Wen Yun Liu

  IRN WXL01084

  • CF1 Director (18 Feb 2010 to 28 Oct 2011)
  • CF30 Customer (18 Feb 2010 to 28 Oct 2011)
• Xinhan Xia

  IRN XHX01001

  • [FCA CF] Material risk taker (since 1 Dec 2020)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 23 Nov 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Oct 2023)
  • CF3 Chief Executive (18 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (18 Feb 2010 to 8 Dec 2019)
  • CF1 Director (18 Feb 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Feb 2010 to 26 May 2010)
  • CF11 Money Laundering Reporting (18 Feb 2010 to 26 May 2010)

No changes recorded yet.