Lumon Risk Management Ltd

• Principal Place of Business

  Lumon Risk Management Ltd

  20 Farringdon Road

  London

  Islington

  EC1M 3HE

  UNITED KINGDOM

  Phone

  +4402033847280

  Web

  https://www.lumonpay.com

• Complaints Contact

  20 Farringdon Road

  London

  EC1M 3HE

  UNITED KINGDOM

  Phone

  +4402033847280

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

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  • · 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
  • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • · 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), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

  Show 3 limitations Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • · 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 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), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Alessio Marco Giorgi

  IRN AMG01257

  • SMF16 Compliance Oversight (since 19 Apr 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2020)
• Alex James Penniston

  IRN AJP01292

  • [FCA CF] Client dealing (since 16 Mar 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 24 Mar 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jan 2020)
  • CF11 Money Laundering Reporting (29 Jan 2018 to 8 Dec 2019)
  • CF10a CASS Oversight function (14 Jul 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Sep 2015 to 8 Dec 2019)
• Andrew Robert Hogwood

  IRN AXH00398

  • [FCA CF] Significant management (16 Mar 2021 to 23 Jan 2023)
• Bliss Marques

  IRN BXM00525

  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Functions requiring qualifications (since 12 Mar 2025)
  • [FCA CF] Client dealing (since 12 Mar 2025)
• Chantal Joy Geall

  IRN CXG54767

  • SMF16 Compliance Oversight (24 Mar 2020 to 31 Jul 2023)
  • SMF3 Executive Director (24 Mar 2020 to 31 Jul 2023)
• Cristina Radu

  IRN CXR19265

  • [FCA CF] Client dealing (16 Mar 2021 to 15 Mar 2022)
• Eliot Bassett

  IRN EXB01657

  • [FCA CF] Significant management (since 16 Mar 2026)
  • [FCA CF] Material risk taker (since 16 Mar 2026)
  • [FCA CF] Manager of certification employee (since 1 Apr 2025)
  • [FCA CF] Client dealing (since 3 Mar 2025)
  • [FCA CF] Functions requiring qualifications (3 Mar 2025 to 15 Mar 2026)
  • CF30 Customer (23 Jul 2018 to 8 Dec 2019)
• Emer Lynam

  IRN EXL22878

  • [FCA CF] Significant management (since 18 Jan 2022)
• Gareth Owen Davey Heald

  IRN GOH00006

  • SMF3 Executive Director (8 Mar 2021 to 23 Jul 2021)
• Gary Coombes

  IRN GXC02169

  • SMF3 Executive Director (9 Dec 2019 to 21 Apr 2020)
  • CF1 Director (10 Oct 2017 to 8 Dec 2019)

No changes recorded yet.