King & Shaxson Limited

• Principal Place of Business

  King & Shaxson Ltd

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +442074265950

  Web

  https://www.kingandshaxson.com

• Complaints Contact

  King & Shaxson Ltd

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +4402076554712

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), Share, Spread Bet, 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), Share, Spread Bet, 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, Debenture, Government and public security, Rights to or interests in investments (Security), 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• 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), Share, Spread Bet, 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.

• Trades With You Directly

  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), Share, Spread Bet, 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), Share, Spread Bet, 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.

• Manages Your Portfolio

  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 (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Trading Platform

  For Eligible Counterparty, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• Stephen Ronald Thompson

  IRN SRT01032

  • CF30 Customer (9 Jan 2008 to 25 Jul 2017)
• Steven George Boult

  IRN SGB01046

  • SMF16 Compliance Oversight (8 Oct 2024 to 6 Oct 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (8 Oct 2024 to 6 Oct 2025)
  • SMF4 Chief Risk (8 Oct 2024 to 6 Oct 2025)
• Stewart Charles Cooper

  IRN SCC01045

  • CF26 Customer Trading (1 Dec 2001 to 5 Jul 2002)
• Tanneguy Marie Emmanuel Gilbert

  IRN TMG01012

  • CF30 Customer (21 Jan 2014 to 24 Oct 2014)
• Tanya Cecelia Brady

  IRN TCB01033

  • CF30 Customer (3 May 2013 to 19 Jul 2013)
• Teddy James McLaren

  IRN TXM00391

  • [FCA CF] Client dealing (since 17 Sep 2024)
• Terry Jason Fairclough

  IRN TJF01031

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
  • CF30 Customer (14 May 2015 to 8 Dec 2019)
• Thomas McIntosh

  IRN TXM01104

  • CF27 Investment Management (23 May 2005 to 30 Jan 2007)
  • CF1 Director (31 Dec 2003 to 30 Jan 2007)
• Thomas Vianney Dazin

  IRN TXD01471

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2024)
  • CF30 Customer (15 Mar 2016 to 8 Dec 2019)
• Tim Melvin

  IRN TXM48143

  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Mar 2023)
  • [FCA CF] Client dealing (1 Jun 2020 to 31 Mar 2023)

No changes recorded yet.