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.

• Jonathan Matthew Barr

  IRN JMB01210

  • CF30 Customer (10 Mar 2014 to 19 Jul 2015)
• Jonathan Way

  IRN JXW01341

  • CF30 Customer (2 Sep 2014 to 24 Nov 2015)
• Jose Maria Espirito Santo Silva Ricciardi

  IRN JMR01234

  • CF2 Non Executive Director (12 Oct 2010 to 21 Apr 2016)
• Joseph Eric Dickerson

  IRN JED01111

  • CF30 Customer (11 Aug 2009 to 31 Dec 2011)
• Joseph Eugene Mary Philipsz

  IRN JXP01330

  • CF30 Customer (29 Apr 2010 to 4 Jan 2012)
• Joseph Noel Leonard

  IRN JNL01012

  • CF30 Customer (7 Dec 2009 to 12 Jul 2010)
• Joy Ferneyhough

  IRN JXF01177

  • CF30 Customer (1 Nov 2007 to 24 Jul 2013)
  • CF21 Investment Adviser (5 Jun 2002 to 31 Oct 2007)
• Juan Christian Graf Thun-Hohenstein

  IRN CXT01107

  • CF1 Director (16 May 2016 to 2 May 2017)
  • CF29 Significant management (11 Dec 2015 to 2 May 2017)
  • CF30 Customer (11 Dec 2015 to 2 May 2017)
• Juan Jose Carrion, Jr

  IRN JJC01063

  • CF30 Customer (16 Mar 2010 to 21 Oct 2010)
• Julie Anne Beecher

  IRN JAB01259

  • CF30 Customer (1 Nov 2007 to 31 May 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 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.