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.

• Christian Dougal

  IRN CXD01507

  • CF11 Money Laundering Reporting (18 Feb 2011 to 15 Oct 2019)
  • CF10 Compliance Oversight (18 Feb 2011 to 15 Oct 2019)
  • CF1 Director (18 Feb 2011 to 15 Oct 2019)
• Christopher Brown

  IRN CXB02145

  • [FCA CF] Material risk taker (3 Nov 2022 to 2 Oct 2025)
  • [FCA CF] CASS oversight function (30 Oct 2020 to 2 Oct 2025)
  • CF10a CASS Oversight function (2 Dec 2015 to 8 Dec 2019)
• Christopher Charles Aujard

  IRN CXA01136

  • [FCA CF] Material risk taker (6 Nov 2020 to 9 Jul 2024)
  • [FCA CF] Manager of certification employee (6 Nov 2020 to 9 Jul 2024)
• Christopher James Bell

  IRN CXB18443

  • SMF7 Group Entity Senior Manager (19 Oct 2021 to 21 Sep 2022)
  • SMF24 Chief Operations (9 Dec 2019 to 19 Oct 2021)
  • CF29 Significant management (19 Aug 2019 to 8 Dec 2019)
• Christopher Taylor

  IRN CXT00501

  • SMF4 Chief Risk (since 2 Apr 2026)
  • SMF16 Compliance Oversight (since 20 Dec 2024)
• Clare Phillips

  IRN CXP00210

  • [FCA CF] Material risk taker (30 Oct 2020 to 31 Mar 2022)
• Claudia Paniker Rumeu

  IRN PRM01114

  • CF1 Director (12 Jun 2012 to 13 Jan 2017)
• Claudia Philips

  IRN CXP00209

  • [FCA CF] Material risk taker (13 Nov 2020 to 11 Jun 2022)
  • [FCA CF] Manager of certification employee (13 Nov 2020 to 11 Jun 2022)
• Colin Bargh

  IRN CXB00465

  • [FCA CF] Material risk taker (since 2 Jul 2021)
• Damian Kevin Millin

  IRN DKM01066

  • CF1 Director (15 May 2012 to 16 Aug 2016)

• FNZ TA Services Limited (no longer appointed)

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

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