FIS Global Execution Services Limited

• Principal Place of Business

  FIS

  The Walbrook Building

  25 Walbrook

  London

  City Of London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +4402080812010

• Complaints Contact

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +4402080812010

• 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, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• John Daniel Morgan

  IRN JDM01208

  • CF1 Director (14 Feb 2012 to 2 Apr 2015)
  • CF3 Chief Executive (14 Feb 2012 to 24 Jan 2014)
  • CF11 Money Laundering Reporting (11 Aug 2011 to 24 Jan 2014)
  • CF30 Customer (3 Feb 2009 to 2 Apr 2015)
• John Halko

  IRN JXH02219

  • CF1 Director (4 Jun 2009 to 1 Feb 2011)
• Jorg Herzhoff-Au

  IRN JXH02752

  • CF30 Customer (13 Aug 2015 to 30 Apr 2016)
• Kenneth Hans Fladung

  IRN KXF17085

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Jul 2019 to 8 Dec 2019)
• Kerin Kimber

  IRN KXK00347

  • Director of firm who is not a certification employee or a SMF manager (since 30 Jun 2023)
• Kevin Rafferty

  IRN KXR01258

  • CF1 Director (2 Jan 2008 to 10 Sep 2008)
• Laetitia Visconti

  IRN LSV00005

  • CF30 Customer (30 Sep 2009 to 21 Jul 2010)
• Leslie John Brady

  IRN LJB01054

  • CF28 Systems and controls (21 Feb 2011 to 30 Sep 2011)
  • CF10 Compliance Oversight (31 Jan 2011 to 30 Sep 2011)
  • CF11 Money Laundering Reporting (31 Jan 2011 to 30 Sep 2011)
  • CF1 Director (22 Nov 2010 to 30 Sep 2011)
  • CF3 Chief Executive (22 Nov 2010 to 30 Sep 2011)
  • CF30 Customer (11 Mar 2009 to 30 Sep 2011)
  • CF29 Significant management (11 Mar 2009 to 30 Sep 2011)
• Maryum Malik

  IRN MXM01437

  • [FCA CF] Client dealing (since 6 Feb 2023)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Feb 2021)
  • CF3 Chief Executive (21 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 Jan 2014 to 8 Dec 2019)
  • CF1 Director (7 Feb 2012 to 8 Dec 2019)
  • CF30 Customer (13 Oct 2011 to 8 Dec 2019)
• Max Justin Broedlow

  IRN MJB01721

  • CF1 Director (8 Aug 2011 to 16 Aug 2012)

No changes recorded yet.