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.

• Simon Whittock

  IRN SXW01257

  • CF30 Customer (19 Apr 2013 to 31 Oct 2014)
• Sri Karthik Velamakanni

  IRN SKV01011

  • CF30 Customer (27 Oct 2010 to 21 Jan 2013)
• Stefan John Hamill

  IRN SJH01350

  • CF30 Customer (8 Feb 2010 to 8 Oct 2010)
• Stefan Julien Henri Slowinski

  IRN SJS01211

  • CF30 Customer (11 Jan 2016 to 3 Apr 2017)
• Stephanie Barsdorf

  IRN SXB02575

  • CF30 Customer (29 Apr 2014 to 19 Jun 2015)
• Stephen Bernard Turville Constable-Maxwell

  IRN SBC01023

  • CF30 Customer (8 Oct 2015 to 13 May 2016)
• Steven King

  IRN SJK01053

  • CF30 Customer (12 Oct 2012 to 18 Jul 2013)
• Sundeep Sood

  IRN SXS01513

  • CF30 Customer (7 Sep 2009 to 25 Jan 2010)
• Sunil Sanikop

  IRN SXS01536

  • CF30 Customer (26 Mar 2010 to 3 Apr 2017)
• Syed Arafat Hussain Shah

  IRN SAS01323

  • SMF16 Compliance Oversight (30 Jun 2023 to 26 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jun 2023 to 26 Feb 2026)

• 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.