FNZ (UK) Ltd

• Principal Place of Business

  F N Z (UK) Ltd

  1 Tanfield

  Edinburgh

  Edinburgh, City Of

  EH3 5DA

  UNITED KINGDOM

  Phone

  +443033333330

  Web

  https://www.fnz.com

• Complaints Contact

  F N Z (UK) Ltd

  1 Tanfield

  Edinburgh

  Edinburgh, City Of

  EH3 5DA

  UNITED KINGDOM

  Phone

  +443033333330

• 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, 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), Share, Structured Deposits, 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, Certificates representing certain security, 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), 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.

• Trade Settlement Routing

  For Eligible Counterparty, Certificates representing certain security, Debenture, 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.

• Stockbroking

  For Eligible Counterparty, Certificates representing certain security, 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), 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.

• Investment Setup

  For Eligible Counterparty, 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), Share, Structured Deposits, 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, Certificates representing certain security, 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), 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Certificates representing certain security, Debenture, 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

  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.

• Kathleen Hunter

  IRN KXH00171

  • [FCA CF] Material risk taker (30 Oct 2020 to 6 Sep 2021)
• Katrina Sartorius

  IRN KXS81749

  • [FCA CF] Material risk taker (since 7 Apr 2023)
• Ken Gaul

  IRN KXG00116

  • [FCA CF] Material risk taker (30 Oct 2020 to 1 Feb 2026)
• Kevin Fielder

  IRN KXF00061

  • [FCA CF] Material risk taker (30 Oct 2020 to 27 Oct 2022)
• Klaus Renvall

  IRN KXR00102

  • [FCA CF] Material risk taker (30 Oct 2020 to 19 Dec 2024)
• Kristopher Love

  IRN KXL24646

  • SMF7 Group Entity Senior Manager (2 Jun 2021 to 22 Dec 2023)
  • SMF24 Chief Operations (5 Jun 2020 to 2 Jun 2021)
  • SMF2 Chief Finance (5 Jun 2020 to 2 Jun 2021)
  • SMF3 Executive Director (5 Jun 2020 to 2 Jun 2021)
• Laurent Daniel Chorna

  IRN LDC01037

  • CF1 Director (12 Jun 2013 to 20 Jun 2014)
• Leahn Clifford Parry

  IRN LCP01028

  • CF10 Compliance Oversight (19 Oct 2010 to 18 Feb 2011)
  • CF28 Systems and controls (1 Nov 2007 to 7 Jul 2011)
  • CF14 Risk Assessment (6 Jan 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (6 Jan 2006 to 12 Dec 2008)
  • CF1 Director (6 Jan 2006 to 6 May 2011)
• Lee Crampton

  IRN LXC00268

  • [FCA CF] Material risk taker (since 21 Jul 2021)
• Leigh James Bartlett

  IRN LJB01081

  • CF1 Director (18 Dec 2018 to 28 Feb 2019)

• FNZ TA Services Limited (no longer appointed)

  FRN 695505 · Appointed 15 May 2015 · Until 10 Jun 2022 · Tied agent

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