FIRST GLOBAL (UK) LTD.

Date authorised
1 April 2013
Companies House
03644072
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    46 Station Road
    North Harrow
    Harrow
    HA2 7SE
    UNITED KINGDOM
    Phone
    +4402089044942
    Web
    https://www.firstglobalsec.com

  • Complaints Contact

    46 Station Road
    North Harrow
    Harrow
    HA2 7SE
    UNITED KINGDOM
    Phone
    +4402089044942

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, Rights to or interests in investments (Security), Share

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Unable to hold financial instruments for own account unless it meets the "matched principal exemption conditions" in the FSA's Glossary of defined expressions used in the FSA's Handbook.

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, Rights to or interests in investments (Security), Share

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Holds Your Assets

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ashwani Mathur

    IRN AXM01491

    • CF21 Investment Adviser (1 Dec 2001 to 16 Aug 2002)
    • CF3 Chief Executive (1 Dec 2001 to 16 Aug 2002)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 16 Aug 2002)
    • CF13 Finance (1 Dec 2001 to 16 Aug 2002)
  • Devina Mehra

    IRN DXM01040

    • [FCA CF] Significant management (since 9 Dec 2019)
  • Devina Mehra

    IRN DXM01436

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF3 Chief Executive (4 Sep 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Sep 2003 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Farhan Mohamed Arif

    IRN FMA01024

    • CF30 Customer (1 Nov 2007 to 26 Jun 2012)
    • CF21 Investment Adviser (18 Feb 2003 to 31 Oct 2007)
    • CF26 Customer Trading (18 Feb 2003 to 31 Oct 2007)
  • Kodu Chenna Keshava Shetty

    IRN KCS01013

    • CF21 Investment Adviser (1 Dec 2001 to 16 Aug 2002)
  • Neeraj Khanna

    IRN NXK01294

    • SMF3 Executive Director (since 14 Apr 2022)
    • [FCA CF] CASS oversight function (since 1 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (7 Jul 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jul 2010 to 8 Dec 2019)
  • Pankaj Valia

    IRN PXV01080

    • CF11 Money Laundering Reporting (15 May 2003 to 28 May 2010)
    • CF10 Compliance Oversight (15 May 2003 to 28 May 2010)
  • Pradyut Patnaik

    IRN PXP01215

    • CF21 Investment Adviser (31 Jan 2003 to 9 Apr 2003)
  • Rajesh Pore

    IRN RXP00384

    • SMF3 Executive Director (since 11 May 2022)
    • [FCA CF] Significant management (since 11 May 2022)
  • Ramsey Khalil Kardouche

    IRN RKK01017

    • CF21 Investment Adviser (10 Jan 2007 to 31 Jan 2007)
    • CF26 Customer Trading (10 Jan 2007 to 31 Jan 2007)
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Recent activity

Updates to this firm's record on the FCA register.

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