FirstRand Securities Limited

• Principal Place of Business

  Level 23

  The Broadgate Tower

  20 Primrose Street

  City of London

  EC2A 2EW

  UNITED KINGDOM

  Phone

  +442079391700

• Complaints Contact

  Level 23

  The Broadgate Tower

  20 Primrose Street

  City of London

  EC2A 2EW

  UNITED KINGDOM

  Phone

  +442079391863

• Authorised to Operate

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

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Rolling spot forex contract

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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, Alternative Debenture, 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), Rolling spot forex contract

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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, Alternative Debenture, 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), Rolling spot forex contract

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  • · 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 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, Alternative Debenture, 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), Rolling spot forex contract

  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.

• Andreas Stephanus Ribbens

  IRN AXR01140

  • Director of firm who is not a certification employee or a SMF manager (since 27 Nov 2025)
• Andries Du Toit

  IRN AJD01353

  • SMF9 Chair of the Governing Body (since 17 Nov 2022)
  • Director of firm who is not a certification employee or a SMF manager (since 16 Feb 2022)
  • SMF12 Chair of the Remuneration Committee (17 Nov 2022 to 21 Nov 2024)
  • SMF13 Chair of the Nominations Committee (17 Nov 2022 to 21 Nov 2024)
• Antoine Laurens Vincent Dijkstra

  IRN ALD01037

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jul 2023)
• Brendan Patrick Battle

  IRN BPB01029

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Jun 2021)
  • CF11 Money Laundering Reporting (1 Mar 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Mar 2017 to 15 Aug 2019)
• Celeste Melodie du Plessis

  IRN CMD01080

  • SMF2 Chief Finance (16 Dec 2022 to 21 Nov 2024)
• Colin Douglas Wakefield

  IRN CXW12343

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (14 Aug 2019 to 8 Dec 2019)
• Diane Giddy

  IRN DXG01918

  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2021)
  • CF28 Systems and controls (6 Aug 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
• Gareth Charles Buchner

  IRN GXB12362

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF4 Chief Risk (11 Mar 2022 to 21 Nov 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Sep 2023)
  • CF1 Director (15 Aug 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Aug 2019 to 8 Dec 2019)
  • CF28 Systems and controls (15 Aug 2019 to 8 Dec 2019)
• Gareth Evans

  IRN GXE00025

  • SMF16 Compliance Oversight (since 8 Sep 2023)
• Monika Bajaj

  IRN MXB86604

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jan 2021)

No changes recorded yet.