Kroll Issuer Services Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Holds Your Assets

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

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

Thomas Choquet
IRN TXC01408
- CF30 Customer (3 Jan 2012 to 8 Dec 2019)
Thomas Denis Choquet
IRN TXC00200
- [FCA CF] Client dealing (since 9 Dec 2019)
Tsz Yan LEE
IRN TXL00289
- [FCA CF] Client dealing (since 5 Sep 2024)
Victor Parzyjagla
IRN VXP01461
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (1 Mar 2017 to 8 Dec 2019)
Yves Theis
IRN YXT01115
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 19 Jan 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jan 2021)
- CF10a CASS Oversight function (17 Feb 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
- CF30 Customer (3 Jan 2012 to 8 Dec 2019)
- CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
- CF1 Director (3 Jan 2012 to 8 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.