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.

• David John Catto

  IRN DJC01224

  • CF30 Customer (27 May 2008 to 8 Dec 2019)
• David John Mozley

  IRN DJM01274

  • CF30 Customer (17 Sep 2012 to 13 Aug 2013)
• David Joseph Thompson

  IRN DXT01150

  • CF30 Customer (1 Nov 2007 to 22 Jan 2008)
  • CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
• David Suett

  IRN DXS01871

  • CF30 Customer (8 Oct 2012 to 3 Apr 2015)
• David Sutherland Ovens

  IRN DSO01014

  • CF30 Customer (26 Mar 2010 to 1 Feb 2011)
• David Thomas Brockton

  IRN DTB01044

  • CF30 Customer (23 May 2011 to 13 Aug 2013)
• David William Warren

  IRN DWW01045

  • CF30 Customer (10 Nov 2015 to 3 Apr 2017)
• Dean Anthony Reynolds

  IRN DXR01198

  • CF30 Customer (1 Nov 2007 to 19 Jun 2009)
  • CF21 Investment Adviser (14 Apr 2005 to 31 Oct 2007)
• Dean James Tyler

  IRN DJT01106

  • CF30 Customer (18 Sep 2015 to 13 May 2016)
• Deborah Marie Chesnoy

  IRN DMC01239

  • CF30 Customer (27 Jun 2016 to 17 May 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.