FinEx Capital Management LLP

• Principal Place of Business

  2nd Floor

  25 Green Street

  London

  W1K 7AX

  UNITED KINGDOM

  Phone

  +442076633303

  Web

  http://finxcapital.com

• Complaints Contact

  2nd Floor

  25 Green Street

  London

  W1K 7AX

  UNITED KINGDOM

  Phone

  +442076633303

• 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), 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.

• 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), 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), 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Unit

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• 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), 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.

• Manages Your Portfolio

  For 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), 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.

• James Patrick Nuttall

  IRN JPN01031

  • CF30 Customer (11 Sep 2014 to 10 Feb 2017)
  • CF4 Partner (11 Sep 2014 to 10 Feb 2017)
• Jateen Kara

  IRN JXK02124

  • CF30 Customer (18 Nov 2016 to 31 Jul 2017)
• Lionel Fernand Paul Dubois

  IRN LFD01004

  • CF30 Customer (7 Oct 2016 to 12 Dec 2017)
• Louis Simon Powell-Voegt

  IRN LSP01028

  • [FCA CF] Material risk taker (since 1 Mar 2025)
  • [FCA CF] Client dealing (since 1 Mar 2025)
  • CF30 Customer (11 Oct 2016 to 30 Aug 2017)
• Martin Bednall

  IRN MXB01415

  • SMF27 Partner (since 30 Sep 2025)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (7 Feb 2014 to 8 Dec 2019)
• Michael John Powell

  IRN MJP01238

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF27 Partner (9 Dec 2019 to 7 Oct 2025)
  • CF4 Partner (6 Dec 2013 to 8 Dec 2019)
  • CF30 Customer (6 Dec 2013 to 8 Dec 2019)
• Oleg Yankelev

  IRN OVY01000

  • [FCA CF] Material risk taker (9 Dec 2019 to 11 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Mar 2022)
  • SMF27 Partner (9 Dec 2019 to 11 Mar 2022)
  • CF30 Customer (21 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (21 Oct 2011 to 8 Dec 2019)
• Paul Douglas Munt

  IRN PDM01071

  • CF30 Customer (1 May 2015 to 13 Dec 2016)
• Simon Luhr

  IRN SXL01270

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Nov 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Nov 2025)
  • CF11 Money Laundering Reporting (21 Oct 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Oct 2011 to 8 Dec 2019)
  • CF3 Chief Executive (21 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (21 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (21 Oct 2011 to 8 Dec 2019)
• Simon Robert Smith

  IRN SRS01051

  • CF30 Customer (11 Sep 2014 to 31 Jan 2017)
  • CF4 Partner (11 Sep 2014 to 31 Jan 2017)

• Asterisk Network Solutions Limited (no longer appointed)

  FRN 845059 · Appointed 30 Jun 2019 · Until 1 Dec 2023

No changes recorded yet.