iSAM Securities (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

  +442072589940

• 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)

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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)

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  • · 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)

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  • · 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)

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  • · 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 Hide limitations

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

• Paul Jackson

  IRN PLJ01021

  • [FCA CF] Client dealing (9 Nov 2020 to 29 Oct 2024)
  • CF30 Customer (13 May 2019 to 8 Dec 2019)
• Peter Lewin-Harris

  IRN PML01092

  • [FCA CF] Manager of certification employee (since 2 Aug 2023)
  • [FCA CF] Material risk taker (since 2 Sep 2022)
  • [FCA CF] Significant management (since 2 Sep 2022)
• Raj Kumar Sunder Sitlani

  IRN RKS01047

  • SMF3 Executive Director (9 Dec 2019 to 10 May 2023)
  • CF1 Director (16 Jan 2015 to 8 Dec 2019)
  • CF30 Customer (20 Nov 2014 to 8 Dec 2019)
• Richard Mason

  IRN RXM09748

  • CF30 Customer (21 Dec 2018 to 8 Dec 2019)
• Richard William Maguire

  IRN RWM01100

  • CF30 Customer (26 Jan 2015 to 8 Dec 2019)
• Robert Alexander Buxton

  IRN RXB02435

  • [FCA CF] Client dealing (9 Nov 2020 to 11 Nov 2022)
  • CF30 Customer (2 Aug 2016 to 8 Dec 2019)
• Roy Sher

  IRN RXS01294

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (13 Nov 2014 to 8 Dec 2019)
  • CF1 Director (13 Nov 2014 to 8 Dec 2019)
• Ryan Poole

  IRN RSP01092

  • [FCA CF] Significant management (since 15 Aug 2023)
  • CF30 Customer (29 Nov 2018 to 8 Dec 2019)
• Samuel Harry Johnson

  IRN SHJ01015

  • [FCA CF] Client dealing (24 Nov 2023 to 20 Dec 2024)
  • [FCA CF] Significant management (24 Nov 2023 to 20 Dec 2024)
  • [FCA CF] Material risk taker (24 Nov 2023 to 20 Dec 2024)
• Sarah Jane Pipkin

  IRN SJB01458

  • CF30 Customer (26 Nov 2014 to 20 Nov 2015)

No changes recorded yet.