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.

• Ruchit Puri

  IRN RXP01509

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2025)
  • CF1 Director (6 Feb 2009 to 8 Dec 2019)
  • CF27 Investment Management (23 Nov 2005 to 12 Mar 2007)
  • CF26 Customer Trading (23 Nov 2005 to 12 Mar 2007)
  • CF21 Investment Adviser (23 Nov 2005 to 12 Mar 2007)
• Sanjay Tanta

  IRN SXT01244

  • CF2 Non Executive Director (1 Dec 2001 to 6 Apr 2002)
• Sanjeev Kumar Prasad

  IRN SKP01064

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (28 Mar 2017 to 8 Dec 2019)
• Shamik Bipin Cholera

  IRN SBC01049

  • CF30 Customer (1 Nov 2007 to 1 Oct 2008)
  • CF21 Investment Adviser (25 May 2006 to 31 Oct 2007)
• Shyam Kumar Syamasundaran

  IRN SXS01709

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (25 Aug 2017 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 1 Oct 2010)
  • CF30 Customer (1 Nov 2007 to 1 Oct 2010)
  • CF23 Corporate Finance Adviser (24 May 2006 to 31 Oct 2007)
  • CF3 Chief Executive (24 May 2006 to 1 Oct 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 Dec 2002 to 31 Oct 2007)
  • CF27 Investment Management (13 Dec 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Dec 2002 to 31 Oct 2007)
  • CF2 Non Executive Director (13 Dec 2002 to 19 Jul 2005)
  • CF26 Customer Trading (13 Dec 2002 to 31 Oct 2007)
• Sudip Shah

  IRN SXS02310

  • CF30 Customer (26 Apr 2011 to 11 Jun 2013)
• Sumit Srivastava

  IRN SXS01541

  • CF21 Investment Adviser (22 Dec 2003 to 5 Jan 2005)
  • CF26 Customer Trading (22 Dec 2003 to 5 Jan 2005)
  • CF27 Investment Management (22 Dec 2003 to 5 Jan 2005)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 5 Jan 2005)
• Surendhren Manayath

  IRN SXM02104

  • CF10a CASS Oversight function (1 Oct 2011 to 5 Nov 2012)
  • CF28 Systems and controls (1 Nov 2007 to 5 Nov 2012)
  • CF29 Significant management (1 Nov 2007 to 5 Nov 2012)
  • CF20 Significant Mgt (Settlements) (1 Dec 2006 to 31 Oct 2007)
  • CF14 Risk Assessment (6 Dec 2005 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (6 Dec 2005 to 31 Oct 2007)
  • CF13 Finance (6 Dec 2005 to 31 Oct 2007)
  • CF15 Internal Audit (6 Dec 2005 to 31 Oct 2007)
• Swati Jain

  IRN SXJ01345

  • [FCA CF] Client dealing (since 15 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 24 Jun 2011)
  • CF21 Investment Adviser (18 Oct 2007 to 31 Oct 2007)
• Tejas Jyotindra Bhatt

  IRN TJB01186

  • SMF3 Executive Director (since 26 Jun 2025)
  • SMF1 Chief Executive (since 31 Aug 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Oct 2008 to 8 Dec 2019)

No changes recorded yet.