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.

• Laurent Chouillet

  IRN LXC01272

  • CF30 Customer (29 Jan 2016 to 30 Jun 2017)
• Lawson Steele

  IRN LXS01101

  • CF30 Customer (25 Sep 2009 to 3 Jul 2012)
• Lele Cheng

  IRN LXC01802

  • CF30 Customer (26 Sep 2016 to 4 Aug 2017)
• Leon Andre Vardon

  IRN LAV01001

  • SMF16 Compliance Oversight (30 Nov 2020 to 30 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Apr 2023)
  • CF11 Money Laundering Reporting (4 Dec 2015 to 8 Dec 2019)
• Lisa Chaudhuri

  IRN LJC01119

  • CF30 Customer (4 Jan 2016 to 10 Aug 2017)
• Lisa Katherine Fox

  IRN LKF01004

  • SMF3 Executive Director (9 Dec 2019 to 1 Feb 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Feb 2021)
  • CF30 Customer (22 Oct 2019 to 8 Dec 2019)
  • CF1 Director (22 Oct 2019 to 8 Dec 2019)
  • CF3 Chief Executive (22 Oct 2019 to 8 Dec 2019)
• Lorenzo Ricciardi de Castro Duarte

  IRN LRD01018

  • CF30 Customer (17 Dec 2012 to 29 Feb 2016)
• Louis Boon Ping Lu

  IRN LBL01014

  • CF30 Customer (23 Mar 2016 to 30 Jun 2017)
• Louise Elizabeth Ankartjarn

  IRN LEA01014

  • CF30 Customer (26 Mar 2008 to 9 Feb 2009)
• Lucas Michael Ocelewicz

  IRN LMO01021

  • CF30 Customer (27 Jul 2010 to 2 Jun 2011)

• 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.