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

  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.

• 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.

• Regis Jean Paul Monfront

  IRN RJM01213

  • CF2 Non Executive Director (16 May 2008 to 17 May 2010)
  • CF8 Apportionment and Oversight (12 Jul 2005 to 20 Sep 2005)
  • CF3 Chief Executive (12 Jul 2005 to 20 Sep 2005)
  • CF19 Significant Mgt (Financial Resources) (12 Jul 2005 to 20 Sep 2005)
  • CF1 Director (14 Jan 2005 to 16 May 2008)
• Rianon Mateer

  IRN RXM01624

  • CF26 Customer Trading (25 Mar 2003 to 9 Sep 2003)
• Richard Cooper

  IRN RDC01051

  • CF30 Customer (25 Jun 2010 to 13 Mar 2017)
• Richard Gerardus Gould

  IRN RGG01028

  • SMF3 Executive Director (9 Dec 2019 to 31 Jul 2020)
  • CF1 Director (7 Nov 2019 to 8 Dec 2019)
• Richard Lynton Blank

  IRN RLB01054

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2004)
• Richard Paul Kuras

  IRN RPK01015

  • CF16 Significant Mgt (Desgntd Investment Business) (22 Jun 2004 to 30 Apr 2005)
• Richard Paul Ziegler

  IRN RPZ01002

  • SMF9 Chair of the Governing Body (since 12 May 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (6 Apr 2009 to 8 Dec 2019)
  • CF3 Chief Executive (6 Apr 2009 to 8 Dec 2019)
  • CF30 Customer (6 Apr 2009 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Jul 2003 to 20 Mar 2005)
• Richard Piers Karslake Wood

  IRN RPW01051

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Dec 2001)
• Richard Sean Few

  IRN XRF01000

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Dec 2016 to 8 Dec 2019)
• Rikki Malik

  IRN RXM01521

  • CF21 Investment Adviser (25 Jul 2002 to 22 Nov 2002)

No changes recorded yet.