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.

• Sharon Mitchell

  IRN SXM00898

  • [FCA CF] Material risk taker (15 Nov 2022 to 29 Aug 2023)
  • [FCA CF] Manager of certification employee (15 Nov 2022 to 29 Aug 2023)
• Simon David New

  IRN SXN00385

  • SMF18 Other Overall Responsibility (13 Aug 2024 to 10 Mar 2025)
• Sophie Thornton

  IRN SXT00249

  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • [FCA CF] Manager of certification employee (since 21 Jul 2021)
  • [FCA CF] Material risk taker (21 Jul 2021 to 13 Jan 2022)
• Stephanie Morgan

  IRN SXM04723

  • SMF18 Other Overall Responsibility (since 30 May 2025)
• Stephen Besant

  IRN SXB56809

  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 30 Jul 2021)
  • [FCA CF] Material risk taker (30 Jul 2021 to 23 Dec 2021)
• Stewart Maclean

  IRN SXM02621

  • CF28 Systems and controls (22 Feb 2011 to 31 Jan 2014)
  • CF1 Director (22 Feb 2011 to 31 Jan 2014)
• Susan Harris

  IRN SEH01096

  • SMF14 Senior Independent Director (since 1 Jul 2025)
  • SMF11 Chair of the Audit Committee (since 9 Dec 2019)
  • CF2 Non Executive Director (11 Mar 2019 to 8 Dec 2019)
• Suzanne Quinn

  IRN SXJ01369

  • CF11 Money Laundering Reporting (1 Oct 2008 to 15 Sep 2010)
  • CF10 Compliance Oversight (1 Oct 2008 to 15 Sep 2010)
• Thierry Auvinet

  IRN TXA01213

  • CF28 Systems and controls (26 Jul 2018 to 13 Jun 2019)
• Thomas Bauer

  IRN TXB00512

  • [FCA CF] Material risk taker (2 Oct 2023 to 19 Jan 2024)

• FNZ TA Services Limited (no longer appointed)

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

No changes recorded yet.