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.

• Bakhtiar Ali Khan

  IRN BAK01013

  • CF26 Customer Trading (3 Feb 2003 to 14 Nov 2006)
  • CF21 Investment Adviser (3 Feb 2003 to 14 Nov 2006)
• Bhamini Shah

  IRN BXS00574

  • [FCA CF] CASS oversight function (since 4 Jun 2025)
• Bhuwan Kaushik

  IRN BXK01214

  • CF30 Customer (25 Feb 2009 to 31 Dec 2013)
• Bijendra Ramaiya

  IRN BXR01121

  • CF30 Customer (10 Oct 2012 to 18 Jan 2013)
• Bindhu Shree Joshi

  IRN BSJ01028

  • CF30 Customer (25 Feb 2009 to 20 Dec 2012)
• Chengalath Jayaram

  IRN CXJ01171

  • CF2 Non Executive Director (20 Sep 2006 to 11 May 2016)
• Chirag Satish Shah

  IRN CXS00348

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
• Christopher Jayasingh T Daniel

  IRN CJD01197

  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2025)
  • CF1 Director (15 Nov 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Jul 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Jul 2014 to 8 Dec 2019)
• Deepak Krishna Agarwal

  IRN DXA00170

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 24 Mar 2023)
• Dipak Gupta

  IRN DXG01919

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 27 Jun 2024)
  • CF2 Non Executive Director (29 Jul 2016 to 8 Dec 2019)

No changes recorded yet.