Haitong International (UK) Limited

• Principal Place of Business

  8 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442074569191

  Web

  https://www.htisec.com/en-us/htiuk

• Complaints Contact

  8 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442074569191

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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 (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Francisco Peixoto Pinho Bastos

  IRN FPB01027

  • CF30 Customer (2 Jun 2014 to 28 Jul 2015)
• Francisco Ravara Cary

  IRN FRC01012

  • CF2 Non Executive Director (12 Oct 2010 to 24 Mar 2015)
• Frederick Joseph Nieto

  IRN FJN01002

  • CF21 Investment Adviser (15 May 2002 to 21 Jul 2004)
• Garreth Spencer Hodgson

  IRN GSH01029

  • CF29 Significant management (4 Dec 2015 to 16 Dec 2015)
  • CF30 Customer (1 Nov 2007 to 16 Dec 2015)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Gary David Cunningham

  IRN GDC01055

  • CF30 Customer (1 Nov 2007 to 8 Mar 2011)
  • CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
• Gavin William Shaw

  IRN GWS01039

  • CF30 Customer (7 Dec 2011 to 11 Dec 2013)
• Gavin William Victor French

  IRN GWF01013

  • CF30 Customer (7 May 2014 to 28 Jan 2016)
• Geetanjali Sharma

  IRN GXS01737

  • CF30 Customer (8 Feb 2010 to 20 Dec 2011)
• Gejia Ouyang

  IRN GXO01134

  • CF30 Customer (10 Dec 2015 to 23 Feb 2018)
• George Obeid

  IRN GXO01140

  • CF30 Customer (1 Mar 2016 to 13 May 2016)

• Curation Corporation Limited (no longer appointed)

  FRN 582524 · Appointed 7 Jun 2012 · Until 29 May 2013

• Yougovexecution Ltd (no longer appointed)

  FRN 447997 · Appointed 9 Feb 2006 · Until 17 Nov 2007

No changes recorded yet.