CLSA (UK)

• Principal Place of Business

  C L S A (UK)

  Level 34, 8 Bishopsgate

  London

  City Of London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402076147000

  Web

  https://www.clsa.com/global-2/europe/

• Complaints Contact

  Level 34

  8 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402076147000

• 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, 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

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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, 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.

• Arranges Asset Safekeeping

  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, 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

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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, 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, 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, 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, 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, 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.

• Holds Your Assets

  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, 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

  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.

• John Michael Lynch

  IRN JML01077

  • CF26 Customer Trading (1 Dec 2001 to 30 Sep 2002)
• John Murray Charlton-Jones

  IRN JMC01152

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (26 Apr 2004 to 31 Oct 2007)
• John Nicholas Hill

  IRN JNH01037

  • [FCA CF] CASS oversight function (9 Dec 2019 to 29 Apr 2022)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF20 Significant Mgt (Settlements) (5 Oct 2005 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Jul 2005)
• John Philip Southwell

  IRN JPS01077

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Jun 2004)
• John Stuart Fraser - Andrews

  IRN JSF01030

  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2004)
• John William Bridgman

  IRN JWB01072

  • CF30 Customer (1 Nov 2007 to 27 Nov 2008)
  • CF29 Significant management (1 Nov 2007 to 27 Nov 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (5 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jonathan David Slone

  IRN JDS01148

  • CF1 Director (14 Apr 2009 to 12 Jul 2019)
• Jonathan Miles Cox

  IRN JMC01173

  • CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2004)
• Jonathan Paul Reid

  IRN JPR01064

  • CF30 Customer (7 Jun 2010 to 2 Mar 2017)
• Jonathan Robert James Seymour

  IRN JRS01141

  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2004)

No changes recorded yet.