iSAM Funds (UK) Limited

• Principal Place of Business

  40 Leadenhall Street

  London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +442072589940

  Web

  https://www.isam.com

• Complaints Contact

  40 Leadenhall Street

  London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +442072588357

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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

• Minyi Liang

  IRN MXL00326

  • [FCA CF] Algorithmic trading (19 Aug 2021 to 11 Jul 2022)
  • [FCA CF] Client dealing (19 Aug 2021 to 11 Jul 2022)
• Monica Comyns

  IRN MXC01597

  • CF10 Compliance Oversight (26 Sep 2017 to 9 Feb 2018)
• Neil Jones

  IRN NXJ00081

  • [FCA CF] Material risk taker (1 Mar 2021 to 16 Apr 2024)
  • [FCA CF] Significant management (1 Mar 2021 to 16 Apr 2024)
• Neill Burger

  IRN NBB01024

  • [FCA CF] Manager of certification employee (since 13 Nov 2020)
  • [FCA CF] Material risk taker (since 13 Nov 2020)
  • [FCA CF] Significant management (since 13 Nov 2020)
  • [FCA CF] Client dealing (since 13 Nov 2020)
  • CF30 Customer (30 Jun 2017 to 8 Dec 2019)
• Nelson Lima

  IRN NXL00089

  • [FCA CF] Algorithmic trading (19 Aug 2021 to 4 Jul 2024)
  • [FCA CF] Client dealing (19 Aug 2021 to 4 Jul 2024)
• Nicholas John Mills

  IRN NJM01229

  • CF30 Customer (30 Jun 2017 to 8 Dec 2019)
• Onky Leung

  IRN OXL00064

  • [FCA CF] Client dealing (since 24 Nov 2023)
  • [FCA CF] Algorithmic trading (since 24 Nov 2023)
• Pawel Burzynski

  IRN PXB00457

  • [FCA CF] Client dealing (28 Mar 2022 to 29 Mar 2022)
  • [FCA CF] Algorithmic trading (28 Mar 2022 to 16 Apr 2024)
• Petch Manoharn

  IRN PXM00690

  • [FCA CF] Algorithmic trading (since 14 Jul 2023)
• Peter Lewin-Harris

  IRN PML01092

  • [FCA CF] Material risk taker (since 25 Nov 2020)
  • [FCA CF] Significant management (since 25 Nov 2020)
  • [FCA CF] Algorithmic trading (25 Nov 2020 to 29 Sep 2022)
  • [FCA CF] Manager of certification employee (25 Nov 2020 to 29 Sep 2022)
  • CF30 Customer (30 Jun 2017 to 8 Dec 2019)

No changes recorded yet.