iSAM Securities (UK) Limited

Date authorised
13 November 2014
Companies House
09112124
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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
    +442072589940

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments)

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

  • Investment Setup

    For Eligible Counterparty, Professional, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ian Moreton

    IRN IJM01102

    • [FCA CF] Material risk taker (since 13 Nov 2020)
    • [FCA CF] Significant management (since 13 Nov 2020)
    • CF30 Customer (28 Apr 2015 to 14 Jul 2016)
    • CF1 Director (28 Apr 2015 to 3 Jul 2017)
  • Jaco De Wet Wentzel

    IRN JDW01190

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (27 Feb 2018 to 10 Apr 2019)
    • CF10a CASS Oversight function (13 Nov 2014 to 8 Dec 2019)
    • CF1 Director (13 Nov 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Nov 2014 to 10 Apr 2019)
  • James Edward John Dewdney-Herbert

    IRN JED01135

    • CF30 Customer (13 Nov 2014 to 14 Jun 2016)
  • James Gavin

    IRN JXG00195

    • [FCA CF] Client dealing (since 8 Jul 2024)
  • James Husband

    IRN JWH01161

    • [FCA CF] Client dealing (9 Nov 2020 to 27 Jul 2022)
    • CF30 Customer (5 Mar 2019 to 8 Dec 2019)
  • James Wale

    IRN JXW01872

    • [FCA CF] Client dealing (9 Nov 2020 to 3 Jul 2025)
    • CF30 Customer (1 Feb 2017 to 8 Dec 2019)
  • Jodie Barrett

    IRN JXB00750

    • [FCA CF] Client dealing (6 May 2021 to 20 Jun 2022)
  • Jonathan Brewer

    IRN JXB02222

    • SMF3 Executive Director (9 Dec 2019 to 10 May 2023)
    • CF1 Director (20 Jan 2015 to 8 Dec 2019)
    • CF30 Customer (21 Nov 2014 to 8 Dec 2019)
  • Jonathan Rowland

    IRN JXR01787

    • CF30 Customer (13 Nov 2014 to 8 Dec 2019)
  • Katie Christensen

    IRN KXH01652

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Apr 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Apr 2019 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.