GUOTAI HAITONG SECURITIES (UK) LIMITED

• Principal Place of Business

  GUOTAI HAITONG SECURITIES (UK) LIMITED

  8 Finsbury Circus

  Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +4407513555950

• Complaints Contact

  GUOTAI HAITONG SECURITIES (UK) LIMITED

  8 Finsbury Circus

  Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442074569191

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, 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, Professional, Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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.

• Ian Malcolm Bernard

  IRN IMB01081

  • SMF16 Compliance Oversight (since 7 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Dec 2023)
• Jiang Shu

  IRN JXS00500

  • [FCA CF] Client dealing (since 1 Apr 2026)
• Jinming Hu

  IRN JXH02501

  • SMF1 Chief Executive (since 7 Dec 2023)
  • SMF3 Executive Director (since 7 Dec 2023)
• Jocelyn Howard Fisher

  IRN JHF01018

  • [FCA CF] Client dealing (since 1 Apr 2026)
  • [FCA CF] Significant management (since 1 Apr 2026)
• QI TANG

  IRN QXT00003

  • [FCA CF] Proprietary trader (29 Apr 2024 to 4 Jul 2025)
  • [FCA CF] Client dealing (29 Apr 2024 to 4 Jul 2025)
• Richard Martin Bellau

  IRN RMB01121

  • [FCA CF] Client dealing (since 1 Apr 2026)
• Rosalia Burgio

  IRN RXB01312

  • [FCA CF] Client dealing (1 Apr 2026 to 2 Apr 2026)
• WEILI HU

  IRN WXH00162

  • [FCA CF] Proprietary trader (since 15 Aug 2024)
  • [FCA CF] Client dealing (since 15 Aug 2024)
• Xiaoxuan Zhu

  IRN XXZ00032

  • [FCA CF] Proprietary trader (since 21 Nov 2024)
  • [FCA CF] Client dealing (since 21 Nov 2024)
• Yiwei Liu

  IRN YXL00097

  • SMF9 Chair of the Governing Body (since 7 Dec 2023)

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