Finantia UK Limited

• Principal Place of Business

  Finantia UK Ltd

  10-11 Austin Friars

  London

  City Of London

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +442073825200

  Web

  https://www.finantia.com

• Complaints Contact

  Finantia UK Ltd

  10-11 Austin Friars

  London

  City Of London

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +442073825200

• 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), 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

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

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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "warrant", "certificate representing certain security", "unit" , "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · 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, Debenture, Government and public security, Rights to or interests in investments (Security)

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

• Trades With You Directly

  For Eligible Counterparty, Professional, 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), Spread Bet

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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 (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• ARAS GUVENC

  IRN AXG02300

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Mar 2023)
  • CF30 Customer (7 Sep 2018 to 8 Dec 2019)
• Ahmet Altay Kaynak

  IRN AAK01021

  • CF30 Customer (1 Nov 2007 to 22 Dec 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Ana Luisa De Andrade Bento Fernandes

  IRN AXF00260

  • SMF7 Group Entity Senior Manager (since 2 Nov 2021)
• Andre Correa De Sa Reksten

  IRN ACR01129

  • CF30 Customer (18 Feb 2013 to 31 Mar 2014)
• Anna Sizova

  IRN AXS01975

  • CF30 Customer (16 Dec 2014 to 8 Dec 2019)
• António Manuel Afonso Guerreiro

  IRN AMG01085

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Dec 2001 to 8 Dec 2019)
• Brigid Jordan

  IRN BXJ01226

  • CF10 Compliance Oversight (18 Jun 2014 to 13 Aug 2019)
• Carlos Astigarraga

  IRN CXA01403

  • CF30 Customer (5 Sep 2011 to 26 Sep 2017)
• David Guerreiro

  IRN GXP01376

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF1 Director (17 Dec 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Dec 2014 to 8 Dec 2019)
  • CF30 Customer (4 Apr 2011 to 8 Dec 2019)
• David Pfeiffer

  IRN DHP01023

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (21 Mar 2018 to 8 Dec 2019)
  • CF30 Customer (21 Mar 2018 to 8 Dec 2019)

No changes recorded yet.