Lek Securities UK Limited

Date authorised
13 May 2010
Companies House
06909016
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    312 Sutton Common Road
    Sutton
    SM3 9NQ
    UNITED KINGDOM
    Phone
    +4402079593290
    Web
    https://www.leksecurities.co.uk

  • Complaints Contact

    312 Sutton Common Road
    Sutton
    SM3 9NQ
    UNITED KINGDOM
    Phone
    +4402079593290

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · 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, 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, 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, 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, Spread Bet, Unit, Warrant

    Show 3 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.
    • · 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.
    • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook 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, 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Electronic Trade Settlement

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Charles Ernest Lagares

    IRN CEL01030

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Jul 2022)
    • SMF3 Executive Director (9 Dec 2019 to 20 Jul 2022)
    • CF1 Director (16 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Feb 2015 to 8 Dec 2019)
  • Charles Frederik Lek

    IRN CFL01027

    • SMF16 Compliance Oversight (since 29 Jan 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10a CASS Oversight function (2 Dec 2016 to 8 Dec 2019)
    • CF3 Chief Executive (25 Jan 2012 to 8 Dec 2019)
    • CF1 Director (25 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (25 Jan 2012 to 8 Dec 2019)
  • Daniel Hanuka

    IRN DXH01789

    • CF1 Director (13 May 2010 to 28 Oct 2015)
  • John Andrew Allan

    IRN JAA01065

    • CF30 Customer (13 May 2010 to 4 Oct 2011)
  • Juan Angel Seoane

    IRN JAS01526

    • CF30 Customer (10 Sep 2015 to 8 Dec 2019)
  • Mathieu Georges de Montfumat

    IRN MGD01098

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • CF30 Customer (20 Apr 2017 to 8 Dec 2019)
  • Michael David Mainwald

    IRN MDM01133

    • CF30 Customer (8 Jul 2010 to 8 Dec 2019)
  • Michael John Manthorpe

    IRN MJM01227

    • CF1 Director (13 May 2010 to 25 Oct 2011)
    • CF10 Compliance Oversight (13 May 2010 to 25 Oct 2011)
    • CF11 Money Laundering Reporting (13 May 2010 to 25 Oct 2011)
  • Nicolas Jean-Claude Edouard Patrick Louis

    IRN NJL01091

    • CF30 Customer (13 May 2010 to 29 Dec 2016)
    • CF1 Director (13 May 2010 to 28 Oct 2015)
  • Samuel Frederik Lek

    IRN SFL01015

    • CF10 Compliance Oversight (7 Nov 2011 to 23 Sep 2019)
    • CF11 Money Laundering Reporting (7 Nov 2011 to 17 Feb 2015)
    • CF1 Director (13 May 2010 to 23 Sep 2019)
    • CF3 Chief Executive (13 May 2010 to 16 Jan 2015)
    • CF30 Customer (13 May 2010 to 23 Sep 2019)

Recent activity

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

No changes recorded yet.