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.

• Reginald Hanna

  IRN RXH00615

  • [FCA CF] Material risk taker (1 Mar 2023 to 17 Jul 2023)
• Renata Mrazova

  IRN RXM00820

  • [FCA CF] Material risk taker (17 Mar 2023 to 1 Feb 2026)
  • [FCA CF] Manager of certification employee (17 Mar 2023 to 1 Feb 2026)
• Richard Bowman

  IRN RXB00333

  • [FCA CF] Material risk taker (30 Oct 2020 to 21 Sep 2021)
• Richard Graeme Barclay Hardie

  IRN RGH01091

  • CF2 Non Executive Director (21 Sep 2012 to 25 Sep 2015)
• Richard Kim Young

  IRN RKY01002

  • CF13 Finance (6 Jan 2006 to 12 Jan 2007)
• Richard Leslie Martin Wohanka

  IRN RLW01071

  • SMF13 Chair of the Nominations Committee (24 Nov 2023 to 14 Feb 2025)
  • SMF9 Chair of the Governing Body (24 Nov 2023 to 14 Feb 2025)
• Richard Patrick Bolger

  IRN RXB19784

  • [FCA CF] Material risk taker (27 Mar 2023 to 31 Jan 2024)
  • [FCA CF] Manager of certification employee (27 Mar 2023 to 31 Jan 2024)
  • SMF7 Group Entity Senior Manager (19 Oct 2021 to 13 Jan 2023)
  • SMF18 Other Overall Responsibility (9 Dec 2019 to 19 Oct 2021)
  • CF29 Significant management (23 Sep 2019 to 8 Dec 2019)
• Richard Siegel

  IRN RXS02365

  • CF1 Director (22 May 2012 to 10 Jul 2013)
• Richard William Bodman

  IRN RWB01112

  • CF2 Non Executive Director (6 Jan 2006 to 12 Jan 2007)
• Roland Whyte

  IRN RCW01081

  • [FCA CF] Material risk taker (30 Oct 2020 to 14 Oct 2021)

• FNZ TA Services Limited (no longer appointed)

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

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