FNZ Securities Limited

• Principal Place of Business

  10th Floor

  135 Bishopsgate

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4403033333330

  Web

  https://www.fnz.com

• Complaints Contact

  10th Floor

  135 Bishopsgate

  London

  City Of London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +442032061290

• 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, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Share, Unit

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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

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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), 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.

• Alastair Conway

  IRN AXC00140

  • SMF1 Chief Executive (since 2 Oct 2023)
  • SMF3 Executive Director (since 2 Oct 2023)
• Andrew John Paterson Brodie

  IRN AXB10030

  • SMF3 Executive Director (since 10 Apr 2026)
  • SMF1 Chief Executive (since 10 Apr 2026)
• Benjamin Paul Wythe

  IRN BPW01045

  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Nov 2022 to 30 Jun 2023)
  • [FCA CF] Material risk taker (22 Sep 2022 to 28 Nov 2022)
• Bruno Almeida

  IRN BXA00071

  • SMF3 Executive Director (15 Sep 2022 to 18 Mar 2024)
  • [FCA CF] Material risk taker (18 Jun 2021 to 15 Sep 2022)
• Christopher Brown

  IRN CXB02145

  • [FCA CF] CASS oversight function (10 Jan 2025 to 2 Oct 2025)
• David Glass

  IRN DDG01004

  • [FCA CF] Material risk taker (25 Jan 2022 to 9 Aug 2023)
• Don Earl Scott

  IRN DXS75354

  • SMF16 Compliance Oversight (22 Sep 2023 to 31 Jan 2024)
  • [FCA CF] Material risk taker (11 Sep 2023 to 31 Jan 2024)
• Edward Charles Searson James

  IRN ECJ01019

  • SMF1 Chief Executive (13 Jan 2022 to 26 Jul 2023)
  • SMF3 Executive Director (13 Jan 2022 to 26 Jul 2023)
• Gemma Lawley

  IRN GXL00267

  • [FCA CF] Material risk taker (30 Aug 2023 to 5 Jun 2025)
• James Alexander Scott-Gatty

  IRN JAS01186

  • SMF16 Compliance Oversight (9 Dec 2019 to 8 May 2021)
  • SMF3 Executive Director (9 Dec 2019 to 8 May 2021)
  • CF1 Director (1 Aug 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2016 to 8 Dec 2019)

No changes recorded yet.