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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• Paul Charles Measday

  IRN PCM01058

  • CF21 Investment Adviser (30 Mar 2004 to 7 Aug 2006)
• Paul Frost-Smith

  IRN PXF01248

  • CF3 Chief Executive (29 Feb 2016 to 31 May 2016)
  • CF1 Director (29 Feb 2016 to 8 Dec 2016)
  • CF29 Significant management (4 Jan 2016 to 31 May 2016)
  • CF30 Customer (20 Nov 2015 to 31 May 2016)
• Paul Heatlie

  IRN PLH01025

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Nov 2020)
  • CF10 Compliance Oversight (6 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Jan 2014 to 8 Dec 2015)
• Paul Nicholas Beamont

  IRN PNB01026

  • CF30 Customer (8 Feb 2010 to 12 Jul 2010)
• Paul Parkinson

  IRN PXP01283

  • CF30 Customer (9 Sep 2009 to 17 Sep 2009)
• Paulo Filipe Calado Barradas

  IRN PFB01068

  • CF30 Customer (14 May 2013 to 3 Apr 2017)
• Pedro Alexandre Martins Costa

  IRN PAC01311

  • CF1 Director (11 Jun 2014 to 20 Apr 2016)
  • CF30 Customer (29 Sep 2010 to 31 Jan 2017)
• Pedro Guiherme Brito e Cunha

  IRN PGB01129

  • CF2 Non Executive Director (28 May 2012 to 5 Nov 2015)
• Pedro Lopes Da Fonseca

  IRN PXF01105

  • CF30 Customer (19 Dec 2016 to 9 May 2017)
• Pedro Miguel Nunes Ventaneira

  IRN PMV01027

  • CF28 Systems and controls (2 Feb 2017 to 31 Aug 2017)

• 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.