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.

• Carl Lewis Battrum

  IRN CXB74510

  • SMF24 Chief Operations (14 Jul 2020 to 4 Mar 2024)
• Carl Michael Steve Harring

  IRN CMH01163

  • CF1 Director (17 Mar 2016 to 6 Mar 2019)
• Carol Ann Richmond

  IRN CAR01046

  • SMF4 Chief Risk (22 Feb 2024 to 31 Dec 2025)
• Carol Duff

  IRN CXD00634

  • [FCA CF] Material risk taker (since 12 Mar 2025)
• Carsten Norbert Kengeter

  IRN CNK01003

  • CF2 Non Executive Director (8 Jun 2016 to 17 Apr 2018)
• Catherine Ann Brown

  IRN CXB01827

  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 15 Aug 2025)
  • CF2 Non Executive Director (17 Mar 2016 to 8 Dec 2019)
• Catherine Vera Thearle

  IRN CVT01009

  • [FCA CF] Material risk taker (30 Oct 2020 to 29 Aug 2022)
• Charles Cunningham

  IRN CXC00521

  • [FCA CF] Material risk taker (11 Apr 2022 to 1 Feb 2026)
• Charlotte Wayne

  IRN CXW00400

  • [FCA CF] Material risk taker (12 Jun 2023 to 27 Oct 2023)
  • [FCA CF] Manager of certification employee (12 Jun 2023 to 27 Oct 2023)
• Charon Wolfindale

  IRN CXW00295

  • [FCA CF] Material risk taker (30 Jul 2021 to 13 Jan 2022)
  • [FCA CF] Manager of certification employee (30 Jul 2021 to 16 Dec 2022)

• FNZ TA Services Limited (no longer appointed)

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

No changes recorded yet.