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.

• Sebastien Peyrachon

  IRN SXP01373

  • CF21 Investment Adviser (11 Jul 2002 to 16 May 2003)
• Sebastien Pierre

  IRN SXP01225

  • CF26 Customer Trading (15 May 2003 to 29 Feb 2004)
• Selwyn Proctor Jones

  IRN SPJ01032

  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2002)
• Shante Sassoon Manoukian

  IRN SSM01021

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Nov 2019 to 8 Dec 2019)
• Sharad Chawla

  IRN SXC01933

  • CF28 Systems and controls (1 Nov 2007 to 11 Jul 2013)
  • CF15 Internal Audit (31 Oct 2007 to 31 Oct 2007)
• Shawn Paul Wakefield

  IRN SPW01087

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2002)
• Simon Charles Bennett

  IRN SCB01062

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2004)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 30 Jun 2004)
• Simon Cowen

  IRN SXC01785

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (12 Apr 2011 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF13 Finance (12 Aug 2005 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (12 Aug 2005 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (2 Mar 2005 to 30 Sep 2005)
• Simon Hilary Gould

  IRN SHG01019

  • CF21 Investment Adviser (11 Mar 2002 to 26 May 2005)
• Simon James Thompson

  IRN SJT01119

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

No changes recorded yet.