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

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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.

• PRIYANKA AGGARWAL

  IRN PXA00275

  • [FCA CF] Client dealing (since 22 May 2024)
• PUNEET SINGH VERMA

  IRN PXV00105

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 14 Aug 2024)
  • [FCA CF] Client dealing (since 14 Aug 2024)
• Partha Das

  IRN PXD01549

  • CF30 Customer (25 Jan 2011 to 30 Sep 2013)
• Paul Verghese Parambi

  IRN PVP01006

  • CF2 Non Executive Director (20 Sep 2006 to 1 Jul 2012)
  • CF3 Chief Executive (1 Dec 2001 to 12 May 2006)
  • CF27 Investment Management (1 Dec 2001 to 12 May 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 12 May 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 12 May 2006)
  • CF1 Director (1 Dec 2001 to 12 May 2006)
• Puneet Krishna

  IRN PXK01448

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Feb 2011 to 8 Dec 2019)
• RAM GOYAL

  IRN RXG00437

  • [FCA CF] Client dealing (19 May 2023 to 20 Jan 2026)
  • [FCA CF] Material risk taker (19 May 2023 to 20 Jan 2026)
• Ridhima Gauba

  IRN RXG01550

  • CF30 Customer (9 Nov 2010 to 20 Dec 2012)
• Roger Caedmon Mortimer

  IRN RXM01683

  • CF30 Customer (1 Nov 2007 to 29 May 2009)
  • CF21 Investment Adviser (9 Feb 2006 to 31 Oct 2007)
• Rohan Arun Deshpande

  IRN RXD00181

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
• Rohit Chandrakant Ajmera

  IRN RCA01030

  • CF27 Investment Management (1 Dec 2001 to 20 Feb 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2003)

No changes recorded yet.