Korea Investment & Securities Europe Ltd.

Date authorised
1 April 2013
Companies House
02991776
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Korea Investment & Securities Europe Ltd
    29 Martin Lane
    London
    City Of London
    EC4R 0DJ
    UNITED KINGDOM
    Phone
    +4402070652760
    Web
    http://www.kiseurope.co.uk

  • Complaints Contact

    Korea Investment & Securities Europe Ltd
    29 Martin Lane
    London
    City Of London
    EC4R 0DJ
    UNITED KINGDOM
    Phone
    +4402070652762

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, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • 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, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Min-Suk Key

    IRN MXK01690

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (7 Mar 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Mar 2019 to 8 Dec 2019)
    • CF3 Chief Executive (7 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (23 Feb 2017 to 8 Dec 2019)
  • SHIN SUK YUN

    IRN SSY01012

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (4 Aug 2017 to 8 Dec 2019)
  • Saehwan Park

    IRN SXP01616

    • CF30 Customer (31 Mar 2014 to 1 Aug 2016)
  • Simon Jonathan Barzilay

    IRN SJB01322

    • CF21 Investment Adviser (5 Jun 2003 to 20 Jun 2003)
  • SinGi Kang

    IRN SXK01991

    • CF30 Customer (23 Oct 2012 to 9 Mar 2015)
  • So-Soon Choi

    IRN SXC01355

    • CF11 Money Laundering Reporting (1 Dec 2001 to 27 Jan 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 27 Jan 2003)
    • CF3 Chief Executive (1 Dec 2001 to 27 Jan 2003)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 27 Jan 2003)
    • CF10 Compliance Oversight (1 Dec 2001 to 27 Jan 2003)
    • CF1 Director (1 Dec 2001 to 27 Jan 2003)
  • Soo Ae Im

    IRN SAI01024

    • CF10 Compliance Oversight (29 Jun 2010 to 31 Dec 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Mr Ki Hong Kim (no longer appointed)

    FRN 218470 · Appointed 3 Sep 2002 · Until 15 Jun 2009

Recent activity

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

No changes recorded yet.