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

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

• Nicholas Mark Finegold

  IRN NMF01011

  • CF2 Non Executive Director (20 Dec 2011 to 20 May 2014)
  • CF30 Customer (1 Nov 2007 to 24 Jan 2014)
  • CF3 Chief Executive (10 Oct 2007 to 10 Dec 2008)
  • CF2 Non Executive Director (AR) (10 Aug 2006 to 29 Aug 2007)
  • CF1 Director (1 Dec 2001 to 20 Dec 2011)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Nicholas Wilson

  IRN NXW01086

  • CF30 Customer (3 Jun 2013 to 6 Sep 2016)
• Nicola Kim Li Reason

  IRN NKR01013

  • CF30 Customer (1 Sep 2008 to 16 Nov 2011)
• Nicolas James Crofts Tranter

  IRN NJT01040

  • CF30 Customer (3 Aug 2009 to 15 Jun 2011)
• Nigel Edward Staddon Williams

  IRN NEW01051

  • CF30 Customer (8 Mar 2016 to 1 Dec 2016)
• Nigel Morris-Jones

  IRN NXM01120

  • CF30 Customer (18 Jun 2008 to 15 Mar 2011)
• Nishad Joseph Vallonthaiel

  IRN NJV01021

  • CF30 Customer (19 Oct 2009 to 8 Dec 2014)
• Nitin Arora

  IRN NXA01237

  • CF30 Customer (8 Feb 2010 to 1 Nov 2010)
• Nuno Maria Pignatelli de Avillez Nunes Pereira

  IRN NMP01057

  • CF28 Systems and controls (2 Feb 2017 to 29 Dec 2017)
• Nuno, Dorring De Brito E Cunha

  IRN NDD00024

  • CF30 Customer (23 May 2012 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.