FirstRand Securities Limited

Date authorised
1 March 2017
Companies House
10192986
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • Authorised to Operate

    Show 2 limitations
    • · 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

    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, 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
    • · 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

    Show 2 limitations
    • · 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
    • · 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.

  • Patrick Vincent Caroll Smith

    IRN PVS01015

    • Director of firm who is not a certification employee or a SMF manager (14 Nov 2022 to 30 Jun 2025)
    • SMF12 Chair of the Remuneration Committee (25 Mar 2022 to 17 Nov 2022)
    • SMF13 Chair of the Nominations Committee (25 Mar 2022 to 17 Nov 2022)
    • SMF10 Chair of the Risk Committee (25 Mar 2022 to 14 Nov 2022)
    • SMF9 Chair of the Governing Body (9 Dec 2019 to 17 Nov 2022)
    • CF2 Non Executive Director (22 Aug 2019 to 8 Dec 2019)
    • CF3 Chief Executive (1 Mar 2017 to 22 Aug 2019)
    • CF1 Director (1 Mar 2017 to 22 Aug 2019)
  • Reza Muhammad Cassim

    IRN RXC00759

    • Director of firm who is not a certification employee or a SMF manager (since 19 Sep 2024)
  • Stephen Eric Peters

    IRN SEP01085

    • CF1 Director (1 Mar 2017 to 7 May 2019)
    • CF28 Systems and controls (1 Mar 2017 to 7 May 2019)
  • Theodor Thomas

    IRN TXT00146

    • SMF10 Chair of the Risk Committee (14 Nov 2022 to 21 Nov 2024)
    • Director of firm who is not a certification employee or a SMF manager (16 Feb 2022 to 30 Nov 2024)
  • Trevor James Davis

    IRN TJD01042

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF2 Chief Finance (23 Mar 2022 to 15 Dec 2022)
    • CF3 Chief Executive (30 Aug 2019 to 8 Dec 2019)
    • CF1 Director (1 Mar 2017 to 8 Dec 2019)
    • CF28 Systems and controls (1 Mar 2017 to 30 Aug 2019)

Recent activity

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

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