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.

• Neil Jenner

  IRN NXJ01048

  • CF30 Customer (15 Jun 2009 to 6 Dec 2010)
• Neil Mukund Patel

  IRN NMP01019

  • CF30 Customer (5 Oct 2012 to 13 Aug 2013)
• Neil Thorington

  IRN NXT01181

  • CF3 Chief Executive (AR) (3 Aug 2006 to 29 Aug 2007)
• Nersen Pillay

  IRN NXP01077

  • CF30 Customer (19 Oct 2015 to 13 May 2016)
• Nianci Su

  IRN NXS01867

  • CF30 Customer (17 Aug 2015 to 3 Apr 2017)
• Nicholas Anthony Mace

  IRN NAM01085

  • CF30 Customer (1 Sep 2015 to 3 Apr 2017)
• Nicholas James Hunton Mellor

  IRN NXM01433

  • CF30 Customer (16 Mar 2012 to 13 May 2016)
• Nicholas James Paton

  IRN NJP01069

  • CF30 Customer (1 Sep 2008 to 3 Sep 2012)
• Nicholas Jeremy Bruce Paulson-Ellis

  IRN NJP01085

  • CF1 Director (9 Jun 2014 to 10 Oct 2014)
  • CF30 Customer (11 Feb 2010 to 10 Oct 2014)
  • CF29 Significant management (11 Feb 2010 to 22 Jul 2013)
• Nicholas Liam Brown

  IRN NLB01035

  • CF30 Customer (17 Dec 2008 to 24 May 2013)

• 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.