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.

• James Andrews

  IRN JLA01019

  • CF30 Customer (24 Apr 2008 to 26 Nov 2009)
• James Claude Bromhead

  IRN JCB01111

  • CF30 Customer (16 Feb 2010 to 31 Oct 2012)
• James Edward Hoogewerf

  IRN JEH01119

  • CF30 Customer (1 Sep 2008 to 15 Jun 2011)
• James Edwardes Jones

  IRN JHE01010

  • CF30 Customer (1 Nov 2007 to 28 Jul 2011)
  • CF21 Investment Adviser (24 Oct 2003 to 31 Oct 2007)
• James Henry Lawless

  IRN JHL01037

  • CF30 Customer (31 Mar 2008 to 19 Aug 2014)
• James John Quinn

  IRN JJQ01002

  • CF30 Customer (11 May 2011 to 31 Dec 2014)
• James Kent Staveley

  IRN JKS01035

  • CF30 Customer (8 Feb 2010 to 13 Aug 2013)
• James Michael Goldstone

  IRN JMG01125

  • CF30 Customer (27 May 2009 to 3 Jul 2012)
• James Vivian Blackburn

  IRN JVB01015

  • CF30 Customer (1 Nov 2007 to 5 Mar 2010)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James William Draper

  IRN JWD01031

  • CF30 Customer (1 Nov 2007 to 20 Mar 2015)
  • CF21 Investment Adviser (27 Nov 2003 to 31 Oct 2007)

• 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.