Lumon Risk Management Ltd

Date authorised
1 September 2015
Companies House
06333730
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

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

Approved individuals

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

  • Perry Ernest Asforis

    IRN PXA01114

    • CF30 Customer (1 Sep 2015 to 14 Aug 2017)
  • Phillipa Jane Sherman

    IRN PJS01375

    • SMF3 Executive Director (24 Feb 2020 to 10 Jul 2020)
  • Rebecca Clare Thorne

    IRN RXT00522

    • [FCA CF] Significant management (since 9 Mar 2026)
  • Robert Groves

    IRN RXG01609

    • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 21 Jul 2020)
    • CF3 Chief Executive (1 Sep 2015 to 8 Dec 2019)
    • CF1 Director (1 Sep 2015 to 8 Dec 2019)
  • Samuel Jones

    IRN STJ01013

    • [FCA CF] Functions requiring qualifications (24 Jun 2021 to 4 Nov 2022)
    • [FCA CF] Client dealing (24 Jun 2021 to 4 Nov 2022)
  • Sarah Billingham

    IRN SJM01323

    • [FCA CF] Manager of certification employee (16 Mar 2022 to 29 Apr 2022)
    • [FCA CF] Client dealing (16 Mar 2021 to 29 Apr 2022)
  • Sarah Jane Hutchinson

    IRN SJH01551

    • CF11 Money Laundering Reporting (1 Sep 2015 to 25 Sep 2017)
    • CF1 Director (1 Sep 2015 to 25 Sep 2017)
  • Shahid Majid

    IRN SXM03935

    • CF30 Customer (19 Oct 2019 to 8 Dec 2019)
  • Shamus Hodgson

    IRN SXH02594

    • SMF1 Chief Executive (21 Jul 2020 to 31 Mar 2023)
    • SMF3 Executive Director (21 Jul 2020 to 31 Mar 2023)
  • Thomas Richard Higham

    IRN TRH01044

    • [FCA CF] Significant management (16 Apr 2023 to 31 Oct 2024)
    • [FCA CF] Manager of certification employee (16 Mar 2023 to 31 Oct 2024)
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Recent activity

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

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