Kotak Mahindra (UK) Limited

• Principal Place of Business

  8th Floor

  Portsoken House

  155-157 Minories

  London

  EC3N 1LS

  UNITED KINGDOM

  Phone

  +442079776900

• Complaints Contact

  8th Floor

  Portsoken House

  155-157 Minories

  London

  EC3N 1LS

  UNITED KINGDOM

  Phone

  +442079776900

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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, Retail (Investment), 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

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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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), Certificates representing certain security, 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

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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, Retail (Investment), 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), Rolling spot forex contract, Share, 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.
  • · Unable on a regular basis to: (i) deal on own account in relation to MiFID financial instruments and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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, Retail (Investment), Certificates representing certain security, 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, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• ABHIRAM GANESH

  IRN AXG01117

  • [FCA CF] Client dealing (30 Oct 2025 to 31 Mar 2026)
• AVIJIT SINHA

  IRN AXS05700

  • [FCA CF] Client dealing (since 28 Jan 2026)
  • [FCA CF] Material risk taker (since 28 Jan 2026)
• Aadil Shaikh

  IRN AXS02315

  • [FCA CF] Client dealing (9 Dec 2020 to 22 Mar 2023)
  • CF30 Customer (21 Aug 2013 to 8 Dec 2019)
• Abhishek Bhalotia

  IRN AXB02107

  • CF3 Chief Executive (4 Jan 2011 to 1 Aug 2017)
  • CF30 Customer (1 Nov 2007 to 1 Aug 2017)
  • CF21 Investment Adviser (25 Apr 2006 to 31 Oct 2007)
  • CF27 Investment Management (25 Apr 2006 to 31 Oct 2007)
  • CF26 Customer Trading (25 Apr 2006 to 31 Oct 2007)
  • CF1 Director (16 Dec 2005 to 1 Aug 2017)
  • CF2 Non Executive Director (6 Dec 2005 to 16 Dec 2005)
• Ajay Pandey

  IRN AXP01317

  • CF27 Investment Management (1 Dec 2001 to 16 Jul 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2002)
• Amit Premkumar Arora

  IRN APA01010

  • CF27 Investment Management (1 Dec 2001 to 8 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 8 Jan 2004)
• Anil Lohidakshan

  IRN AXL00263

  • SMF3 Executive Director (since 17 Nov 2025)
  • SMF16 Compliance Oversight (since 27 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 4 Sep 2025)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 4 Jun 2025)
  • CF10a CASS Oversight function (5 Nov 2012 to 8 Dec 2019)
  • CF28 Systems and controls (5 Nov 2012 to 8 Dec 2019)
• Apurva Udeshi

  IRN AXU01041

  • CF30 Customer (19 Feb 2009 to 28 Jan 2011)
• Ashish Vaishnav

  IRN AXV01322

  • CF30 Customer (13 Dec 2011 to 1 Jul 2016)
• Ashok Vaswani

  IRN AVV01008

  • Director of firm who is not a certification employee or a SMF manager (since 27 Jun 2024)

No changes recorded yet.